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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 |
|---|---|---|---|
| ID | RA | APPROVED | 2022-01-31 |
| CA | RA | APPROVED | 2021-07-08 |
| TX | RA | APPROVED | 2021-07-08 |
Branch Locations
520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • United States
Victor, ID • United States
Snake River Landing, 900 Pier View Drive Suite 102, Idaho Falls, ID 83402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Newport Beach | CA | 10/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 11/2016 | 07/2021 |
| Stifel Nicolaus & Co Inc | Newport Beach | CA | 07/2021 | Present |
1. Tenton Springs Cabin HOA; 61 Warm Creek, Victor, ID 83455; HOA ;Board Of Directors and Treasurer; attend meetings, treasurer ; 07/08/2021; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-07 |
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