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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 | 2022-09-08 |
| CA | RA | APPROVED | 2012-03-01 |
Branch Locations
One Montgomery Street Suites 3300, 3500, 3600, & 3700, San Francisco, CA 94104 • United States
Walnut Creek, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | San Francisco | CA | 02/2012 | Present |
1. Friends of Princeton Water Polo; 404 Boundary Oak Way; Walnut Creek, CA 94598; Non-profit too support the Water Polo program; Board Member; Advise on matters concerning the program; 03/01/2021; 20 Hours per Year; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-22 |
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