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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-12-16
KY RA APPROVED 2004-02-26
IN RA APPROVED 2003-05-12
  • TX RA
    APPROVED_RES
    Since 2024-12-16
  • KY RA
    APPROVED
    Since 2004-02-26
  • IN RA
    APPROVED
    Since 2003-05-12

Branch Locations

600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222 • United States

500 Main Street, Shelbyville, KY 40065 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Louisville KY 03/1994 Present
Other Businesses

1. Cameron Ventures LLC; 1702 Riverside Dr Prospect KY 47119;Air BNB; owner;9/24/19;0 hr/day;not during securities trading hours; not investment related. 2. Boat Slip; Alexis Cove West, Prospect, KY 40059; Owner; 04/01/2021; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-11
S63 Uniform Securities Agent State Law Examination 1987-12-11
  • S65 Uniform Investment Adviser Law Examination
    1999-08-11
  • S63 Uniform Securities Agent State Law Examination
    1987-12-11

View on SEC IAPD

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