Brian Patrick Thomas

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

Authority	Category	Status	Date
IL	RA	APPROVED	2018-09-13
TX	RA	APPROVED	2018-09-13

IL RA
APPROVED

Since 2018-09-13
TX RA
APPROVED

Since 2018-09-13

Branch Locations

875 Main Street Nw, Bourbonnais, IL 60914 • 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

Organization	City	State	From	To
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	09/2018
Stifel Nicolaus & Co Inc	Bourbonnais	IL	09/2018	Present

01/2015 → 09/2018

Morgan Stanley Private Bank, National Association

New York, NY
09/2018 → Present

Stifel Nicolaus & Co Inc

Bourbonnais, IL

Previous Registrations

2009-06-01 → 2018-09-19

Morgan Stanley

Bourbonnais, IL
1997-12-28 → 2009-06-01

Citigroup Global Markets Inc.

Bourbonnais, IL

Bourbonnais, IL

Other Businesses

1. The 100 Club of Kankakee County; Kankakee, IL 60901; Board Member - Non-profit FBO dependents of firefighters and police killed in the line of duty; 03/17/2010; 1.00 Hour(s) Per Quarter - not during securities trading hours; Not Investment-Related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-06-03
S63	Uniform Securities Agent State Law Examination	1990-04-02

S65 Uniform Investment Adviser Law Examination

1992-06-03
S63 Uniform Securities Agent State Law Examination

1990-04-02

Other Names

Brian Thomas

View on SEC IAPD