Marie Helene Steinman

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

Authority	Category	Status	Date
CA	RA	APPROVED	2020-02-13
TX	RA	APPROVED	2020-02-12

CA RA
APPROVED

Since 2020-02-13
TX RA
APPROVED

Since 2020-02-12

Branch Locations

Newport Beach, CA • United States

520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • United States

2121 Avenue Of The Stars (Fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067 • 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

Organization	City	State	From	To
Bank Of America, N.A.	Beverly Hills	CA	05/2013	02/2020
Stifel Nicolaus & Co Inc	Los Angeles	CA	02/2020	Present

05/2013 → 02/2020

Bank Of America, N.A.

Beverly Hills, CA
02/2020 → Present

Stifel Nicolaus & Co Inc

Los Angeles, CA

Previous Registrations

2013-04-26 → 2020-02-12

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Beverly Hills, CA

Beverly Hills, CA

Beverly Hills, CA
2004-06-21 → 2013-05-06

Ubs Financial Services Inc.

Beverly Hills, CA

Beverly Hills, CA

Other Businesses

1. Rental Property; 16 Rue Esprit Violet 06400, Cannes, France; Rental Property; Co-Owner; 11/21/2019; 1 Hour per Year; Not During Securities Trading Hours; Investment-Related.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-06-18

S66 Uniform Combined State Law Examination

2004-06-18

Designations

Certified Financial Planner

View on SEC IAPD