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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-26 |
| FL | RA | APPROVED | 2021-05-05 |
| PA | RA | APPROVED | 2015-12-04 |
| TX | RA | APPROVED | 2015-12-04 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
2340 Collins Avenue Suite 200, Miami Beach, FL 33139 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Miami Beach | FL | 12/2015 | Present |
1. GAD HHK LLC;3511 Silverside Road, Wilmington DE 19810;LLC whose sole purpose is to hold a boat; boat owner; 4/9/19;1.00 Hour(s) Per Year; not during securities trading hours; Not investment related. 2. Nine Tripple Diamond Way LLC;55 Saddle Brook Drive Hohokus NJ 07423;Holds a house;Co owner of the LLC; 11/1/18;0.00 Hour(s) Per Day; not during securities trading hours; investment related. 3. 4Stay;1751 Pinnacle Dr McLean VA 22102;Student Housing;Advisor;general advising to the business;9/9/19;5 hr/wk; not during securities trading hours; not investment related. 4. SGD Real Estate Holdings LLC; 5 Saddle Brook Drive, HoHoKus, NJ 07423; hold real estate investments; 50% owner, no mngt; 01/01/2024; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 5. SGD Private Equity LLC; 2340 Collins Ave suite 200 miami beach, FL 33139; holding PE investments; managing member; personal PE holdings; 03/19/2024; 0hrs/day; Not during securities trading hours; Investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-01-28 |
| S63 | Uniform Securities Agent State Law Examination | 1991-03-07 |
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