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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 2026-06-24
  • TX RA
    APPROVED
    Since 2026-06-24

Branch Locations

300 Throckmorton Street Suite 1400, Fort Worth, TX 76102 • 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
OrganizationCityStateFromTo
Mass Mutual Life Insurance Company Dallas TX 04/2020 06/2026
Mml Investors Services Dallas TX 10/2020 06/2026
Texas Christian University Fort Worth TX 08/2016 05/2020
Td Ameritrade Fort Worth TX 05/2019 08/2019
The Law Office Of Gill & Brissette Fort Worth TX 05/2017 04/2019
Stifel, Nicolaus & Company, Incorporated Fort Worth TX 06/2026 Present
  • 04/2020 → 06/2026
    Mass Mutual Life Insurance Company
    Dallas, TX
  • 10/2020 → 06/2026
    Mml Investors Services
    Dallas, TX
  • 08/2016 → 05/2020
    Texas Christian University
    Fort Worth, TX
  • 05/2019 → 08/2019
    Td Ameritrade
    Fort Worth, TX
  • 05/2017 → 04/2019
    The Law Office Of Gill & Brissette
    Fort Worth, TX
  • 06/2026 → Present
    Fort Worth, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-18
  • S66 Uniform Combined State Law Examination
    2020-12-18
Designations
  • Certified Financial Planner

View on SEC IAPD

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