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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 2024-11-15
MO RA APPROVED 2016-06-29
  • TX RA
    APPROVED
    Since 2024-11-15
  • MO RA
    APPROVED
    Since 2016-06-29

Branch Locations

501 North Broadway, St. Louis, MO 63102 • 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
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated St. Louis MO 06/2016 Present
Stifel Independent Advisors, Llc St. Louis MO 05/2022 Present
Previous Registrations
  • 2024-11-15 → 2026-08-24
    St. Louis, MO
  • 2012-08-01 → 2016-04-15
    Bmo Harris Financial Advisors, Inc.
    St. Louis, MO
    St Louis, MO
    Sunset Hills, MO
    St. Louis, MO
  • 2012-04-20 → 2012-08-01
    M&I Financial Advisors, Inc
    Sunset Hills, MO
    St Louis, MO
    St. Louis, MO
  • 2012-01-03 → 2012-04-19
    M&I Investment Management Corp.
    Milwaukee, WI
  • 2009-11-13 → 2011-10-17
    St. Louis, MO
    Manchester, MO
    Collinsville, IL
    Belleville, IL
    O'FAllon, IL
    Edwardsville, IL
    Brentwood, MO
    St. Louis, MO
    Clayton, MO
    St. Louis, MO
    St. Louis, MO
    Manchester, MO
    St. Louis, MO
    Ballwin, MO
    St. Louis, MO
    Waterloo, IL
    Edwardsville, IL
    O'FAllon, IL
    Collinsville, IL
    Belleville, IL
    St. Louis, MO
    Waterloo, IL
    Kirkwood, MO
    Creve Coeur, MO
    St. Louis, MO
    Creve Coeur, MO
    Kirkwood, MO
  • 2006-10-30 → 2009-11-13
    Natcity Investments, Inc.
    St. Louis, MO
    St. Louis, MO
    Manchester, MO
    St. Louis, MO
    Ballwin, MO
    St. Louis, MO
    Maplewood, MO
    Brentwood, MO
  • 2005-09-19 → 2006-06-01
    Morgan Stanley Dw Inc.
    St. Louis, MO
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-16
  • S66 Uniform Combined State Law Examination
    2005-09-16
Designations
  • Certified Financial Planner

View on SEC IAPD

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