Kathleen Renee Thomas

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
MO	RA	APPROVED	2024-06-20

MO RA
APPROVED

Since 2024-06-20

Branch Locations

Pacific, MO • United States

501 North Broadway, St. Louis, MO 63102 • 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
Stifel Nicolaus	St. Louis	MO	12/2011	12/2022
Stifel, Nicolaus & Company, Incorporated	St Louis	MO	06/2024	Present
Facet	Baltimore	MD	12/2022	06/2024

12/2011 → 12/2022

Stifel Nicolaus

St. Louis, MO
06/2024 → Present

Stifel, Nicolaus & Company, Incorporated

St Louis, MO
12/2022 → 06/2024

Facet

Baltimore, MD

Previous Registrations

2013-05-30 → 2022-12-07

Stifel, Nicolaus & Company, Incorporated

St. Louis, MO

St. Louis, MO

Other Businesses

1. Etsy; 117 Adams St Brooklyn NY 11201; Online selling platform; Etsy shop owner; Print on Demand seller; 06/01/2023; 1 hr/day; Not during securities trading hours; Not Investment-Related

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-05-29

S66 Uniform Combined State Law Examination

2013-05-29

Other Names

Kathleen Renee Omalley
Kathleen Renee Thomas
Kathleen Thomas

View on SEC IAPD