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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2016-06-09 |
| TX | RA | APPROVED_RES | 2016-06-09 |
Branch Locations
520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Newport Beach | CA | 06/2016 | Present |
1. CANTARA; 3187-G AIRWAY AVE. COSTA MESA CA 92627; AUDIO-VIDEO AND SMART HOME TECHNOLOGY; BOARD MEMBER; OVERSIGHT, ACCOUNTABILITY, STRATEGIC VISION AND PLANNING; AFFILIATION STARTED 03/01/2007; 4 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 2. St. James Episcopal Church; 3209 Via Lido Newport Beach, CA 92660; Church; Member of the Finance Team; Review financial reports; 03/01/2026; 3hrs/mth; Not during securities hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 2002-04-18 |
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