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Stifel, Nicolaus & Company, Incorporated CRD 793
$198B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-09-01 |
| TX | RA | APPROVED | 2020-09-01 |
Branch Locations
5834 E. Naples Plaza 2Nd Floor, Long Beach, CA 90803 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Seal Beach | CA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Seal Beach | CA | 11/2016 | 08/2020 |
| Stifel Nicolaus & Co Inc | Newport Beach | CA | 09/2020 | Present |
1. 922 LLC; 69 60th Place, Long Beach, CA 90803; Real Estate Holdings; Owner; Help manage properties; 11/02/2017; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 1988-06-09 |
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