Hugo John Warns

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
GA	RA	APPROVED	2024-10-10
MD	RA	APPROVED	2024-10-09
TX	RA	APPROVED	2024-10-09

GA RA
APPROVED

Since 2024-10-10
MD RA
APPROVED

Since 2024-10-09
TX RA
APPROVED

Since 2024-10-09

Branch Locations

26 Market Street Suite 116, St. Simons Island, GA 31522 • United States

1201 Wills Street Suite 600, Baltimore, MD 21231 • 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
Stifel, Nicolaus & Company, Incorporated (Org Id: 793)	St. Simons Island	GA	12/2005	Present

12/2005 → Present

Stifel, Nicolaus & Company, Incorporated (Org Id: 793)

St. Simons Island, GA

Other Businesses

1.Raptor Investments, LLC;12301 Highgrove Ct Reisterstown MD 21136; A corporation that will make investments in privately held companies; Co-Owner and Manager; Monitor holdings quarterly ;2 hrs/month; Not during securities trading hours; Investment-Related 2. Fred Haskins Commission, Inc; 2610 Cherokee Avenue, Columbus, GA 31906; The Haskins Commission has been devoted to amateur golf and the presentation of the Haskins Award; Member of the Board or Directors; Provide oversight; 02/10/2021; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 3. Bennabis Health; 16 South Avenue West, Canford, NJ 07106; Improve patient health; Board of Directors; Advise and oversee the management team; 01/20/2022; 10 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 4. Cloister Capital, LLC; 121 E 7th Street, Sea Island, GA 31561; Holding company; Owner/Member; Oversight; 02/02/2022; 24 Hours per Year; Not During Securities Trading Hours; Investment-Related

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-09-06

S63 Uniform Securities Agent State Law Examination

2001-09-06

Designations

Chartered Financial Analyst

View on SEC IAPD