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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-13
IL RA APPROVED 2018-03-16
  • TX RA
    APPROVED_RES
    Since 2020-01-13
  • IL RA
    APPROVED
    Since 2018-03-16

Branch Locations

Northbrook, IL • United States

70 West Madison Street Suite 2500, Chicago, IL 60602 • 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
OrganizationCityStateFromTo
B.C. Ziegler And Company Chicago IL 12/2007 03/2018
Stifel, Nicolaus & Company, Incorporated Chicago IL 03/2018 Present
Previous Registrations
  • 2009-09-30 → 2018-03-16
    B. C. Ziegler And Company
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2007-07-13 → 2008-01-03
    Munster, IN
    Munster, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-10-01
S63 Uniform Securities Agent State Law Examination 1996-01-12
  • S65 Uniform Investment Adviser Law Examination
    2007-10-01
  • S63 Uniform Securities Agent State Law Examination
    1996-01-12

View on SEC IAPD

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