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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

AuthorityCategoryStatusDate
FL RA APPROVED 2020-06-29
IL RA APPROVED 2020-06-26
TX RA APPROVED 2020-06-26
  • FL RA
    APPROVED
    Since 2020-06-29
  • IL RA
    APPROVED
    Since 2020-06-26
  • TX RA
    APPROVED
    Since 2020-06-26

Branch Locations

Columiba, IL • United States

218 Harbor Drive South, Venice, FL 34285 • 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
Bank Of America, N.A. Venice FL 05/2012 06/2020
Stifel Nicolaus & Co Inc Venice FL 06/2020 Present
  • 05/2012 → 06/2020
    Bank Of America, N.A.
    Venice, FL
  • 06/2020 → Present
    Stifel Nicolaus & Co Inc
    Venice, FL
Previous Registrations
Other Businesses

1. Rental Property; 1350 Siesta Bayside Drive, Sarasota, FL34242; Rental Property; Condo Owner; Rent condo; 01/01/2021; 2 Hours per Month; Not During Securities Trading Hours; Investment-Related. 2. Rippelmeyer Farms Inc; 20 Eagle Crest Ct Columbia IL; Farm Land Ownership and Farm Rental Income; 1/4 Owner; annual decision on nature of the farm rental contract; 9/9/2022; 5 hours per year; not during securities trading hours; inv related 3. Rental Property; 1328 Siesta Bayside Dr., Sarasota, FL 34242; Rental/Investment Property; Owner; Manage rental income and expenses; 04/03/2023; 2 Hours per Month; Not During Securities Trading Hours; Investment-Related. 4. St. John United Church of Christ-Fall Picnic Committee; 201 S. Meyer Ave, Valmeyer, IL 62295; Church/Religious Organization; chairman of the annual fall picnic committee; oversee the picnic subcommittees to help coordinate the activities on the day of the picnic; 01/01/2001; 2 Hours per Month; During securities trading hours; Not Investment-Related 5. St. John United Church of Christ-Valmeyer; 201 S. Meyer Ave Valmeyer IL 62295; Church/Religious Organization; Board/Consistory Member; Meet with the other board members to discuss/solve issues facing the church and church membership; 01/01/2025; 2 hrs/month; Not During Securities Trading Hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-05
S63 Uniform Securities Agent State Law Examination 2000-12-29
  • S65 Uniform Investment Adviser Law Examination
    2001-01-05
  • S63 Uniform Securities Agent State Law Examination
    2000-12-29

View on SEC IAPD

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