Randall Lee Otto

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
SC	RA	APPROVED	2023-09-29
TX	RA	APPROVED_RES	2019-01-09
WI	RA	APPROVED	2008-03-28

SC RA
APPROVED

Since 2023-09-29
TX RA
APPROVED_RES

Since 2019-01-09
WI RA
APPROVED

Since 2008-03-28

Branch Locations

Beaufort, SC • United States

1276 May River Road Suite 200, Bluffton, SC 29910 • 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

Organization	City	State	From	To
Stifel Nicolaus	St. Louis	MO	02/2008	Present

02/2008 → Present

Stifel Nicolaus

St. Louis, MO

Other Businesses

1. Randy Otto as Winston Churchill LLC; 275 S Main St Lake Mills WI 53551; Speaking; Speaker; affiliation started 01/02/2017; 10.0 hours per day; not during securities trading hours; not investment-related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-08-12
S63	Uniform Securities Agent State Law Examination	1997-10-15

S65 Uniform Investment Adviser Law Examination

2008-08-12
S63 Uniform Securities Agent State Law Examination

1997-10-15

Other Names

Randall Lee Otto
Randy L Otto
Randall Lez Otto

View on SEC IAPD