Aaron B Capan

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	2023-05-17
TX	RA	APPROVED	2023-05-17

CA RA
APPROVED

Since 2023-05-17
TX RA
APPROVED

Since 2023-05-17

Branch Locations

Gold River, CA • United States

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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Woodland Hills	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Woodland Hills	CA	11/2016	05/2023
Stifel, Nicolaus & Company, Incorporated	Los Angeles	CA	05/2023	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Woodland Hills, CA
11/2016 → 05/2023

Wells Fargo Clearing Services, Llc

Woodland Hills, CA
05/2023 → Present

Stifel, Nicolaus & Company, Incorporated

Los Angeles, CA

Previous Registrations

2008-02-08 → 2023-06-08

Wells Fargo Clearing Services, Llc

Los Angeles, CA

Woodland Hills, CA

Folsom, CA
2007-04-02 → 2008-02-12

Morgan Stanley & Co. Llc

Beverly Hills, CA
2005-05-05 → 2007-04-02

Morgan Stanley Dw Inc.

Beverly Hills, CA

Beverly Hills, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-04-15

S66 Uniform Combined State Law Examination

2005-04-15

View on SEC IAPD