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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
MO RA APPROVED 2022-07-29
TX RA APPROVED 2022-07-29
  • MO RA
    APPROVED
    Since 2022-07-29
  • TX RA
    APPROVED
    Since 2022-07-29

Branch Locations

2021 S. Lindbergh Blvd. 3Rd Floor, Frontenac, MO 63131 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Clayton MO 07/2019 07/2022
Benson Hill Biosystems Saint Louis MO 03/2016 05/2018
Unemployed Saint Louis MO 05/2018 07/2019
Bank Of America, N.A. Clayton MO 09/2019 07/2022
Stifel, Nicolaus & Company, Incorporated Frontenac MO 07/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-05
  • S66 Uniform Combined State Law Examination
    2019-11-05
Other Names
  • Ben Alsop
  • Benjamin Alsop

View on SEC IAPD

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