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501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-08-26 |
| MI | RA | APPROVED | 2010-09-24 |
Branch Locations
202 East State Street Suite 300, Traverse City, MI 49684 • United States
1 disclosure category 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 & Company, Incorporated | Traverse City | MI | 10/2009 | Present |
1. EXCHANGE CLUB OF TRAVERSE CITY, BERTINA LANE, TRAVERSE CITY, MI 49689 2. Successor Trustee of a family Trust 3. The Father Fred Foundation; 826 Hastings St. Traverse City, MI 49686; The foundation was established in order to provide services and goods (food, clothing, bill assistance) to locals in need.; Finance committee member; Our committee charged with advising the full board of directors regarding budget funding, etc.; 06/18/2025; 2 hrs/month; During Securities Trading Hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 1987-09-23 |
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