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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2025-04-04 |
Branch Locations
New Bedford, MA • United States
Boston, MA • United States
20 Custom House Street, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Winslow, Evans & Crocker, Inc. | Boston | MA | 11/2015 | 03/2021 |
| Winslow Wealth Management | Boston | MA | 11/2015 | 04/2021 |
| National Asset Management | Boston | MA | 03/2021 | 07/2022 |
| B. Riley Wealth Advisors | Boston | MA | 03/2021 | 04/2025 |
| B. Riley Wealth Management | Boston | MA | 01/2023 | 04/2025 |
| Stifel, Nicolaus & Company, Incorporated | Boston | MA | 04/2025 | Present |
1. The Shaw Fund for Mariners Children; PO Box 194 Newburyport, MA 01950; To provide charitable resources to the family of Mariners in crisis.; Member of the Finance/Investment Committee; to consider stock and bond investments for the fund; 01/01/1998; 2 hrs/qtr; Not during securities trading hours; Not Investment-Related 2. he Shaw Fund for Mariners Children; PO Box 194 Newburyport, MA 01950; Provide support to the families of Mariners in crisis; Board Member; invited but not obligated to attend the annual meeting of the Shaw Fund; 01/01/1998; 2 Hours per Year; Not during securities trading hours; not investment-related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-02-17 |
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