Matthew Clifford Battenberg

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
MI	RA	APPROVED	2017-03-15

MI RA
APPROVED

Since 2017-03-15

Branch Locations

Bloomfield, MI • United States

One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Birmingham	MI	07/2009	11/2016
Wells Fargo Clearing Services, Llc	Birmingham	MI	11/2016	03/2017
Stifel, Nicolaus & Company, Inc	Southfield	MI	03/2017	Present

07/2009 → 11/2016

Wells Fargo Advisors Llc

Birmingham, MI
11/2016 → 03/2017

Wells Fargo Clearing Services, Llc

Birmingham, MI
03/2017 → Present

Stifel, Nicolaus & Company, Inc

Southfield, MI

Previous Registrations

2009-08-03 → 2017-03-16

Wells Fargo Clearing Services, Llc

Birmingham, MI

Other Businesses

1. BATTENBERG INVESTMENT CO LLC; 9655 Mashie Ct. Naples FL 34108; Family Investments; As 50% owner I am involved in investment related decisions; Managing Member; Investment decisions; affiliation started 01/01/1998; 4.0 hours per month; not during securities trading hours; investment-related.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-02-14

S66 Uniform Combined State Law Examination

2001-02-14

View on SEC IAPD