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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-05-22 |
| CA | RA | APPROVED | 2022-02-04 |
Branch Locations
3554 Round Barn Blvd Suite 200, Santa Rosa, CA 95403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates, Inc | Santa Barbara | CA | 08/2016 | 02/2019 |
| Wells Fargo Clearing Services, Llc | Santa Rosa | CA | 04/2019 | 02/2022 |
| Stifel Nicolaus & Co Inc | Santa Rosa | CA | 02/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-12-12 |
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