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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-01-13 |
| CA | RA | APPROVED | 2014-05-28 |
Branch Locations
One Montgomery Street Suites 3300, 3500, 3600, & 3700, San Francisco, CA 94104 • United States
Moraga, CA • United States
3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | San Francisco | CA | 05/2014 | Present |
1. Sentinels HOA; 1050 Kirkwood Meadows Drive, Kirkwood, CA 95646; 6 Vacation Townhome HOA; Board Member, CFO; 10/05/2021; 3 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-01-22 |
| S63 | Uniform Securities Agent State Law Examination | 1987-08-27 |
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