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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
TX RA APPROVED_RES 2019-09-26
PA RA APPROVED 2009-06-03
  • TX RA
    APPROVED_RES
    Since 2019-09-26
  • PA RA
    APPROVED
    Since 2009-06-03

Branch Locations

Millennium One, 20 Ash Street, Conshohocken, PA 19428 • United States

4001 Kennett Pike Suite 220, Greenville, DE 19807 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Conshohocken PA 04/2009 Present
  • 04/2009 → Present
    Stifel Nicolaus & Co Inc
    Conshohocken, PA
Other Businesses

1. Tredyffrin/Easttown School District - Conestoga High School; 940 West Valley Road, Ste 1700 Wayne, PA 19807; local school district; Head Coach - Boys soccer; Head coach of the high school boys soccer program. Regular season begins on Monday, August 10th 2026 and ends mid October 2026. Depending on success, playoffs/championships could extend the season into November. Daily practices are typically 3:00 p.m. - 5 p.m. but could also be later in the evening depending on field availability at the school; 04/28/2026; 2hrs/day; During securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-18
S63 Uniform Securities Agent State Law Examination 1997-03-07
  • S65 Uniform Investment Adviser Law Examination
    1997-03-18
  • S63 Uniform Securities Agent State Law Examination
    1997-03-07

View on SEC IAPD

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