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Katherine Nicole Brummet

Stifel, Nicolaus & Company, Incorporated

Rolla, MO

CRD 4979569

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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_RES 2022-08-10
MO RA APPROVED 2016-08-10
  • TX RA
    APPROVED_RES
    Since 2022-08-10
  • MO RA
    APPROVED
    Since 2016-08-10

Branch Locations

1034 South Bishop Avenue, Rolla, MO 65401 • 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
Stifel Columbia MO 03/2014 Present
  • 03/2014 → Present
    Stifel
    Columbia, MO
Other Businesses

1. Rolla Chamber; 1311 Kings Hwy, Rolla, MO 65010; To help decide and organize community events and budgets for the Rolla Chamber; Director; Be a voting member on actionable decisions for the member businesses in our community and events held by the Chamber; 1/2/23; 3 hr/mo; Not During Securities Trading Hours; Not Investment Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-08-10
  • S66 Uniform Combined State Law Examination
    2016-08-10
Other Names
  • Katherine N Brummet
  • Katie Nicole Brummet

View on SEC IAPD

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