James David Oestreich

Stifel, Nicolaus & Company, Incorporated

CRD 2876435

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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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-05-26

NY RA
APPROVED

Since 2021-05-26

Branch Locations

1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	New York	NY	06/2009	Present

06/2009 → Present

Stifel Nicolaus & Co Inc

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-05-21
S63	Uniform Securities Agent State Law Examination	1997-05-09

S65 Uniform Investment Adviser Law Examination

1997-05-21
S63 Uniform Securities Agent State Law Examination

1997-05-09

Other Names

James D Oestreich
Jim Oestreich

View on SEC IAPD

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