Susan Marie Dixon

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
CA	RA	APPROVED	2010-09-07

CA RA
APPROVED

Since 2010-09-07

Branch Locations

400 Spectrum Center Drive, Irvine, CA 92618 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Irvine	CA	09/2010	Present

09/2010 → Present

Stifel Nicolaus & Co Inc

Irvine, CA

Previous Registrations

2009-06-01 → 2010-04-14

Morgan Stanley

Laguna Niguel, CA
2004-10-19 → 2009-06-01

Citigroup Global Markets Inc.

Los Angeles, CA

Laguna Niguel, CA
1998-08-24 → 2004-08-05

Morgan Stanley Dw Inc.

Laguna Hills, CA

Other Businesses

1. Forever Card Company (site name on Etsy, no legal filing); 36 Dauphine Newport Coast CA 92657; selling hand-painted watercolor cards via Etsy; Owner, artist; Hand-paint original watercolor cards and sell via Etsy; 01/22/2024; 5.00hrs/week; Not during securities trading hours; Not investment related.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-04-08
S65	Uniform Investment Adviser Law Examination	1997-04-08

S63 Uniform Securities Agent State Law Examination

1997-04-08
S65 Uniform Investment Adviser Law Examination

1997-04-08

Other Names

Susan Christian
Susan Lurtz

View on SEC IAPD