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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2011-06-13 |
| TX | RA | APPROVED | 2011-06-13 |
Branch Locations
600 Country Club View Suite 5, Edwardsville, IL 62025 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Edwardsville | IL | 06/2011 | Present |
1. Signal Buster Racing, LLC; 9510 Council Ridge Road Galena IL 61036; Horse Racing; Co-Manager, and a passive investor in the operations; 12/08/2023; 1.00hr/year; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-01-23 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-27 |
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