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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-07 |
| CT | RA | APPROVED | 2010-02-26 |
Branch Locations
1 disclosure category 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Hartford | CT | 02/2010 | Present |
Holy Cross High School; 587 Oronoke Rd Waterbury CT 06708; Education; Board Member; Oversee Scholarship Funds; 01/01/2020; 4.00 Hour(s) Per Year; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-31 |
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