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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 2025-07-11
WI RA APPROVED 2025-07-11
  • TX RA
    APPROVED
    Since 2025-07-11
  • WI RA
    APPROVED
    Since 2025-07-11

Branch Locations

10 East Courtney Street, Rhinelander, WI 54501 • 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
OrganizationCityStateFromTo
Lasalle St. Securities, Llc Chicago IL 11/2001 06/2025
Stifel Rhinelander WI 06/2025 Present
  • 11/2001 → 06/2025
    Lasalle St. Securities, Llc
    Chicago, IL
  • 06/2025 → Present
    Stifel
    Rhinelander, WI
Other Businesses

1. Het Lands LLC; 3748 N. Faust Lake Rd Rhinelander, WI 54501; The LLC is the owner of the building that the local Stifel office leases; Owner; I own the LLC; 01/01/2009; 5hrs/wk; During securities trading hours; Investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-12
S63 Uniform Securities Agent State Law Examination 1999-12-20
  • S65 Uniform Investment Adviser Law Examination
    2025-04-12
  • S63 Uniform Securities Agent State Law Examination
    1999-12-20

View on SEC IAPD

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