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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 | 2021-09-09 |
| MI | RA | APPROVED | 2021-09-08 |
Branch Locations
202 East State Street Suite 300, Traverse City, MI 49684 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Traverse City | MI | 10/2009 | 10/2016 |
| Wells Fargo Advisors, Llc | Traverse City | MI | 10/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Traverse City | MI | 11/2016 | 08/2020 |
| Raymond James Financial Services, Inc. | Traverse City | MI | 08/2020 | 08/2021 |
| Raymond James Financial Services Advisors, Inc. | Traverse City | MI | 08/2020 | 08/2021 |
| Stifel Nicolaus & Co Inc | Traverse City | MI | 09/2021 | Present |
1. Notary Public; 6694 Lela Lane SW, South Boardman, MI 49680; Notary; 05/18/1999; 1 Hour per Year; Not During Securities Trading Hours; Not Investment-Related. 2. Affinity Appliance Services, LLC; 6694 Lela Lane SW, South Boardman, MI 49680; Owner; 01/01/2001; 0 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-06-07 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-03 |
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