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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
NY RA APPROVED 2021-05-26
  • NY RA
    APPROVED
    Since 2021-05-26

Branch Locations

787 7Th Avenue, New York, NY 10019 • 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
Wedbush Morgan Securities San Francisco CA 05/2009 10/2018
Stifel Nicolaus & Co Inc New York NY 10/2018 Present
  • 05/2009 → 10/2018
    Wedbush Morgan Securities
    San Francisco, CA
  • 10/2018 → Present
    Stifel Nicolaus & Co Inc
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-06-24
  • S63 Uniform Securities Agent State Law Examination
    1998-06-24
Designations
  • Chartered Financial Analyst
Other Names
  • Christopher Todd Hagar

View on SEC IAPD

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