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Stifel, Nicolaus & Company, Incorporated CRD 793
$198B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-08-04 |
| CA | RA | APPROVED | 2022-08-02 |
Branch Locations
One Montgomery Street Suites 3300, 3500, 3600, & 3700, San Francisco, CA 94104 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Company | San Francisco | CA | 03/2010 | 06/2017 |
| Nylife Securities Llc | San Francisco | CA | 04/2010 | 06/2017 |
| Eagle Strategies Llc | San Franciso | CA | 06/2010 | 06/2017 |
| Ameriprise Financial Services, Inc. | San Francisco | CA | 06/2017 | 07/2022 |
| Stifel, Nicolaus & Company, Incorporated | San Francisco | CA | 08/2022 | Present |
Rental Property; 1500 Rustlers Rd Round Rock TX 78681; Co-owner; 6/1/21; 0 hours per day; not during sec trading hours; Inv Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-12-06 |
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