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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2020-08-10 |
| TX | RA | APPROVED_RES | 2020-08-10 |
Branch Locations
One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034 • United States
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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Birmingham | MI | 01/2004 | 08/2020 |
| Stifel Nicolaus & Co Inc | Southfield | MI | 08/2020 | Present |
1. 28411 Capital LLC; 2862 Vineyards Dr, Troy, MI 48098; Passive LLC use of funds to invest in BioStar Private Equity Fund; Member; 8/9/23; 0 hr/day; Not During Securities Trading Hours; Investment Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-18 |
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