Michael Carter Vanstraaten

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

• 10/2009 → Present
  Stifel, Nicolaus & Company, Incorporated
  Rochester, MN

Previous Registrations

• 2006-08-12 → 2007-12-31
  Ubs Financial Services Inc.
  Weehawken, NJ
  Rochester, MN
• 2006-04-03 → 2006-08-12
  Piper Sandler & Co.
  Minneapolis, MN
  Rochester, MN
  Rochester, MN

Other Businesses

1. Moseley Properties LLC; 738 Zumbro Oaks LN NW, Oronoco, MN 55960; Rental properties; Owner; Property management; 04/01/2004; 4 Hours per Month; Not during securities trading hours; Investment-Related. 2. Zumbro Hill LLC; 738 Zumbro Oaks LN NW Oronoco MN 55960; recreational land that is used for hunting, tending bee hives, and hay; co-owner; Take care of bills that come through maintaining property; 02/06/2013; 4.00hrs/quarter; Not during securities trading hours; Not Investment-Related. 3. SunnySide Ranch LLC; 21229 212th St, Preston, MN 559645; direct meat sales from family farm; member; no day to day operations, help on weekends; 06/04/2024; 10 hrs/month; Not during securities trading hours; Not Investment-Related

Exams

• S66 Uniform Combined State Law Examination
  2005-11-26

Other Names

• Michael Carter Van Straaten