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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-06-06 |
| NY | RA | APPROVED | 2021-05-26 |
| TX | RA | APPROVED | 2009-10-13 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | New York | NY | 08/2007 | Present |
1. The Plaza at Tenafly; 3106 the Plaza, Tenafly, NJ 07670; Condo Association; Member of the Board; 09/14/2021; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-23 |
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