Michael Emmett Flood

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
CA	RA	APPROVED	2019-02-22
TX	RA	APPROVED_RES	2019-02-22

CA RA
APPROVED

Since 2019-02-22
TX RA
APPROVED_RES

Since 2019-02-22

Branch Locations

400 Spectrum Center Drive, Irvine, CA 92618 • 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

Organization	City	State	From	To
Bank Of America, N.A.	Irvine	CA	07/2011	02/2019
Stifel Nicolaus & Co Inc	Irvine	CA	02/2019	Present

07/2011 → 02/2019

Bank Of America, N.A.

Irvine, CA
02/2019 → Present

Stifel Nicolaus & Co Inc

Irvine, CA

Previous Registrations

1999-09-13 → 2019-02-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Laguna Hills, CA

Irvine, CA

Trabuco Canyon, CA

Other Businesses

1. Krav Maga of Orange County; 24002 Via Fabricante #306 Mission Viejo CA 92691; Teach Krav Maga; Instructor; Teach 1 hour Krav Maga class every other Monday; 06/01/2007; 3.00 Hour(s) Per Month; not during securities trading hours; Not Investment-Related. 2. Marvin Flood Inc; 32732 Larkgrove Circle, Trabuco Canyon, CA 92679; Investments for shareholders; CEO; Investment management, conduct board meetings, record minutes, file taxes and appropriate paperwork; 01/01/2010; 1 Hour Per Month; During Securities Trading Hours; Investment-Related. 3.Marvin Flood Inc; 32732 Larkgrove Circle, Trabuco Canyon, CA 92679; Investment management; President; Administration and operations including asset management;1/1/2023; 2 Hours per Year; During securities trading hours; Investment-Related. 4. Marvin Flood Inc; 32732 Larkgrove Circle, Trabuco Canyon, CA 92679; Investment Management; Board Member; Administration and operations including asset management; 1/1/2015; 2 Hours per year; During Securities Trading Hours; Investment-Related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-07-07
S63	Uniform Securities Agent State Law Examination	1994-08-29

S65 Uniform Investment Adviser Law Examination

1999-07-07
S63 Uniform Securities Agent State Law Examination

1994-08-29

Designations

Certified Financial Planner

Other Names

Michael Emmett Flood
Mike Flood
Mike Emmett Flood

View on SEC IAPD