Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| TX | RA | APPROVED | 2018-12-10 |
| CA | RA | APPROVED | 2011-11-02 |
Branch Locations
One Montgomery Street Suites 3300, 3500, 3600, & 3700, San Francisco, CA 94104 • United States
Concord, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | San Francisco | CA | 11/2011 | Present |
1. Unum Provident Life; One Mercantile Street Worcester MA 01608; Disability Insurance; Agent; Service policies- renewal commissions; affiliation started 01/01/1990; 5.0 hours per year; not during securities trading hours; not investment-related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1991-02-14 |
Reach out to this advisor