Brent Lane Baumberger

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
VA	RA	APPROVED	2025-01-02
TX	RA	APPROVED_RES	2020-01-13
MD	RA	APPROVED	2007-06-05

VA RA
APPROVED

Since 2025-01-02
TX RA
APPROVED_RES

Since 2020-01-13
MD RA
APPROVED

Since 2007-06-05

Branch Locations

Williamsburg, VA • United States

303 International Circle Suite 590, Hunt Valley, MD 21030 • United States

Disclosures

2 disclosure categories 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 Yes

Employment History

Organization	City	State	From	To
Stifel, Nicolaus & Company, Incorporated	Baltimore	MD	06/2007	Present

06/2007 → Present

Stifel, Nicolaus & Company, Incorporated

Baltimore, MD

Previous Registrations

2001-05-06 → 2007-06-05

Ryan Beck & Co.

Baltimore, MD

Baltimore, MD

Other Businesses

1. New Horizons Educational Foundation; 13400 Woodside Lane Bldg. A Newport News VA 23608; New Horizons is a regional education organization providing education and instruction to train future ready students; a member of the board of directors; the outline of board membership and responsibility is attached below; 04/30/2024; 14hrs/quarter; During securities trading hours; Not Investment-Related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-02-20
S63	Uniform Securities Agent State Law Examination	1990-06-18

S65 Uniform Investment Adviser Law Examination

1992-02-20
S63 Uniform Securities Agent State Law Examination

1990-06-18

View on SEC IAPD