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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-26
FL RA APPROVED 2021-05-05
PA RA APPROVED 2015-12-04
TX RA APPROVED 2015-12-04
  • NY RA
    APPROVED
    Since 2021-05-26
  • FL RA
    APPROVED
    Since 2021-05-05
  • PA RA
    APPROVED
    Since 2015-12-04
  • TX RA
    APPROVED
    Since 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

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
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Miami Beach FL 12/2015 Present
Previous Registrations
  • 2009-01-21 → 2015-12-04
    Barclays Capital Inc.
    New York, NY
    New York, NY
  • 2008-01-29 → 2008-10-15
    Lehman Brothers Inc.
    New York, NY
    New York, NY
    New York, NY
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-01-28
S63 Uniform Securities Agent State Law Examination 1991-03-07
  • S65 Uniform Investment Adviser Law Examination
    2008-01-28
  • S63 Uniform Securities Agent State Law Examination
    1991-03-07
Other Names
  • Gregory A Delmonte
  • Gregory Alen Delmonte

View on SEC IAPD

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