Michael Anthony Coates

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

Authority	Category	Status	Date
NC	RA	APPROVED	2016-05-26
TX	RA	APPROVED_RES	2014-03-24
FL	RA	APPROVED	2007-07-31

NC RA
APPROVED

Since 2016-05-26
TX RA
APPROVED_RES

Since 2014-03-24
FL RA
APPROVED

Since 2007-07-31

Branch Locations

Mount Holly, NC • United States

3835 Pga Blvd. Suite 701, Palm Beach Gardens, FL 33410 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Stifel, Nicolaus & Company, Incorporated	Palm Beach Gardens	FL	07/2007	Present

07/2007 → Present

Stifel, Nicolaus & Company, Incorporated

Palm Beach Gardens, FL

Previous Registrations

2005-02-03 → 2007-07-31

Ryan Beck & Co.

Palm Beach Gardens, FL

Palm Beach Gardens, FL

Other Businesses

1. CBI Realty. Inc; 3898 Via Poinciana Lake Worth FL 33467; Real Estate; Real Estate Consultant; The major focus will be the buying and selling real estate mainly for personal use; 10/31/2014; 2 hrs/month; Not during security trading hours; Investment-Related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-01-31
S63	Uniform Securities Agent State Law Examination	1993-06-17

S65 Uniform Investment Adviser Law Examination

2005-01-31
S63 Uniform Securities Agent State Law Examination

1993-06-17

View on SEC IAPD