Wayne Spencer Frank

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2007 → 03/2018
  B C Ziegler And Company
  Mequon, WI
• 03/2018 → Present
  Stifel, Nicolaus & Company, Incorporated
  Mequon, WI

Previous Registrations

• 1999-01-04 → 2018-03-16
  B. C. Ziegler And Company
  Mequon, WI
  Mequon, WI
  Chicago, IL

Other Businesses

1. Immanuel Presbyterian Church; Astor St Milwaukee WI 53211;Religious;Member of board of trustees; Help oversee the physical and financial resources of the church;1/2/19; 2 hr/mo; not during securities trading hours; not investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-28
• S63 Uniform Securities Agent State Law Examination
  1998-09-08