Walter Story Twetten

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
FL	RA	APPROVED	2023-04-25
TX	RA	APPROVED_RES	2021-08-30
MD	RA	APPROVED	2007-06-05
VA	RA	APPROVED	2007-06-05

FL RA
APPROVED

Since 2023-04-25
TX RA
APPROVED_RES

Since 2021-08-30
MD RA
APPROVED

Since 2007-06-05
VA RA
APPROVED

Since 2007-06-05

Branch Locations

3777 Tamiami Trail North Suite 300, Naples, FL 34103 • United States

Naples, FL • 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	Baltimore	MD	06/2007	Present

06/2007 → Present

Stifel, Nicolaus & Company, Incorporated

Baltimore, MD

Previous Registrations

2004-11-22 → 2007-06-05

Ryan Beck & Co.

Baltimore, MD

Baltimore, MD
2003-07-01 → 2004-11-29

Wells Fargo Clearing Services, Llc

Vienna, VA
2002-02-04 → 2003-07-01

Prudential Equity Group, Llc

Vienna, VA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-10-20
S63	Uniform Securities Agent State Law Examination	1995-09-29

S65 Uniform Investment Adviser Law Examination

1995-10-20
S63 Uniform Securities Agent State Law Examination

1995-09-29

Other Names

Walt Twetten

View on SEC IAPD