Charles Havnor Coakley

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-08-18
WI	RA	APPROVED	2009-07-14

TX RA
APPROVED_RES

Since 2014-08-18
WI RA
APPROVED

Since 2009-07-14

Branch Locations

18000 West Sarah Lane Suite 180, Brookfield, WI 53045 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Stifel Nicolaus	Glendale	WI	07/2009	Present

07/2009 → Present

Stifel Nicolaus

Glendale, WI

Previous Registrations

2000-10-03 → 2009-07-15

Robert W. Baird & Co. Incorporated

Milwaukee, WI

Milwaukee, WI

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-10-02

S66 Uniform Combined State Law Examination

2000-10-02

View on SEC IAPD

Employer firm

Current Employers

Stifel, Nicolaus & Company, Incorporated

Disclosures

Employment History

Previous Registrations

Exams

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