Best Investors Account Sign in
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
UT RA APPROVED 2022-08-24
TX RA APPROVED_RES 2015-10-28
CA RA APPROVED 2008-06-05
  • UT RA
    APPROVED
    Since 2022-08-24
  • TX RA
    APPROVED_RES
    Since 2015-10-28
  • CA RA
    APPROVED
    Since 2008-06-05

Branch Locations

13640 Bowman Lane, Auburn, CA 95603 • United States

Sandy, UT • 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
A.D.P. Sacramento CA 06/1988 Present
Stifel Nicolaus Roseville CA 06/2008 Present
  • 06/1988 → Present
    A.D.P.
    Sacramento, CA
  • 06/2008 → Present
    Stifel Nicolaus
    Roseville, CA
Previous Registrations
Other Businesses

1. Delwin Robert or Penelope Penni Frew; 1190 Squirrel Creek Pl. Auburn CA 95602; Rental properties; Owner; Provide Landlord duties; 100% owner; affiliation started 05/03/2010; 1 hour per day; during securities trading hours; not investment related; it is owned in Frew Family Trust. 2. Sutter Auburn Faith Hospital Foundation; 11815 Education, Auburn, CA 95602; Hospital Foundation; Board Member; Fundraising & Ambassador; 01/30/2023; 4 Hours per Month; During securities trading hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-13
S63 Uniform Securities Agent State Law Examination 1993-04-16
  • S66 Uniform Combined State Law Examination
    2008-12-13
  • S63 Uniform Securities Agent State Law Examination
    1993-04-16
Other Names
  • Delwin R Frew

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Auburn, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor