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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
TN RA APPROVED 2022-09-26
TX RA APPROVED 2022-09-26
  • TN RA
    APPROVED
    Since 2022-09-26
  • TX RA
    APPROVED
    Since 2022-09-26

Branch Locations

1319 Sunset Drive Suite 201, Johnson City, TN 37604 • 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
Stifel, Nicolaus & Company, Incorporated Johnson City TN 06/2012 Present
Previous Registrations
  • 2005-08-16 → 2011-05-02
    Johnson City, TN
    Johnson City, TN
    Johnson City, TN
  • 2004-06-11 → 2004-07-28
    Ameriprise Advisor Services, Inc.
    Kingsport, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-09-23
S63 Uniform Securities Agent State Law Examination 2018-03-26
  • S65 Uniform Investment Adviser Law Examination
    2022-09-23
  • S63 Uniform Securities Agent State Law Examination
    2018-03-26
Other Names
  • Angela Dionne Stout

View on SEC IAPD

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