Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-03-22 |
| CA | RA | APPROVED | 2011-05-24 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Irvine | CA | 05/2011 | Present |
1. Provisors, 15260 Ventura Blvd, Sherman Oak, CA 91403; Professional Networking Group; Group Leader; Develops/builds membership; facilitates meetings; 1/1/2000; 5 hr/mo; During Securities Trading Hours; Investment Related. 2.OneOC;1901 E. 4th Street Santa Ana CA 92705; Dedicated to providing comprehensive solutions/support to nonprofits and companies to execute initiatives for the greater good; Founder and Advisory Board Chairperson for Boardvance initiative; Guide, advise, implement Boardvance programs; 12/29/2023; 3/00hrs/month; During Securities Trading Hours; Not Investment Related 3. Human Options; 540 Trabuco Road, Ste 100 Irvine, CA 92620; Provide assistance to victims of relationship abuse; Member, Board of Directors; Act in a fiduciary capacity as a member of the Board of Directors and participate in specific committees as needed; 09/01/2026; 4hrs/mths; During securities trading hours; Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-04-14 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-28 |
Reach out to this advisor