Larry Charles Gulotta

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → Present
  Stifel Nicolaus & Co Inc
  Crown Point, IN

Previous Registrations

• 2008-01-01 → 2009-06-05
  Wells Fargo Clearing Services, Llc
  Merrillville, IN
• 2005-08-24 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Chesterton, IN
  Chesterton, IN
  St. Louis, MO

Other Businesses

1) CHICAGO BOARD OF TRADE, 141 W. JACKSON STE A-10, CHICAGO, IL 60604; 2) LEASING MEMBERSHIP 3) LEASING MEMBERSHIP, 4) LEASING MEMBERSHIP; 5) NONE; 6) NO; 7) YES.

Exams

• S66 Uniform Combined State Law Examination
  2005-08-23
• S63 Uniform Securities Agent State Law Examination
  1991-02-22