Charles William Shirey

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2009 → Present
  Stifel, Nicolaus & Company, Incorporated
  Waterloo, IA

Previous Registrations

• 2006-08-12 → 2009-08-14
  Ubs Financial Services Inc.
  Waterloo, IA
  Weehawken, NJ
• 1999-06-04 → 2006-08-12
  Piper Sandler & Co.
  Waterloo, IA
  Minneapolis, MN

Other Businesses

1. Waterloo Community Foundation; 425 Cedar St. Suite 320 Waterloo IA 50701; Foundation for the city of Waterloo, Iowa; Investment committee member; investment policy decisions; affiliation started 03/27/2017; 1.0 hour per month; not during securities trading hours; not investment-related. 2. Westminster Presbyterian Church of Waterloo, Iowa; 1301 Kimball Ave, Waterloo, IA 50702; Church; member of finance committee; review finances; 01/06/2024; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 3. Walrus Ventures LLC; 2920 N. Commonwealth Ave #2A Chicago, IL 60657; Asset investment and management; Management committee member; to be inactive unless both founding members are incapacitated; 10/21/2025; 0hrs/yr; Not during securities trading hours; Investment related

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-08-10
• S63 Uniform Securities Agent State Law Examination
  1998-08-04

Other Names

• Chuck Shirey