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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-05-14 |
| NY | RA | APPROVED | 2021-06-24 |
| NJ | RA | APPROVED | 2017-11-03 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2017 |
| Stifel Nicolaus & Co Inc | New York | NY | 11/2017 | Present |
1. Southfork Natural History Museum; 377 Bridgehampton Sag Harbor Turnpike Bridgehampton NY 11932; Charitable Organization - museum of natural history/nature center; Volunteer - Board Member; Assistance with the Gala committee; 01/01/2024; 52.00hrs/year; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-18 |
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