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Christopher Manion Brennan

Stifel, Nicolaus & Company, Incorporated

Brookfield, WI

CRD 4120361

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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
TX RA APPROVED 2018-04-09
WI RA APPROVED 2017-09-05
  • TX RA
    APPROVED
    Since 2018-04-09
  • WI RA
    APPROVED
    Since 2017-09-05

Branch Locations

18000 West Sarah Lane Suite 180, Brookfield, WI 53045 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
B.C. Ziegler And Company West Bend WI 06/2009 08/2017
Stifel Nicolaus & Co Inc Brookfield WI 09/2017 Present
  • 06/2009 → 08/2017
    B.C. Ziegler And Company
    West Bend, WI
  • 09/2017 → Present
    Stifel Nicolaus & Co Inc
    Brookfield, WI
Previous Registrations
  • 2009-06-26 → 2017-09-20
    B. C. Ziegler And Company
    Waukesha, WI
    West Bend, WI
  • 2005-01-01 → 2009-07-20
    Menomonee Falls, WI
  • 2002-08-29 → 2005-01-01
    Strong Capital Management Inc
    Menomonee Falls, WI
Other Businesses

1. St Mary Church; 8705 County Highway N, Sayner WI, 54560; Catholic church; Parish Pastoral Council (PPC); Assist the pastor in his leadership role of planning, organizing, initiating, promoting, coordinating and reviewing the evangelization, worship, religious education/formation and service activities; 10/29/2024; 12 Hours per Year; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-08-27
S63 Uniform Securities Agent State Law Examination 2000-04-12
  • S65 Uniform Investment Adviser Law Examination
    2002-08-27
  • S63 Uniform Securities Agent State Law Examination
    2000-04-12
Designations
  • Certified Financial Planner

View on SEC IAPD

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