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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
NH RA APPROVED 2009-09-03
  • NH RA
    APPROVED
    Since 2009-09-03

Branch Locations

Strafford, NH • United States

20 Custom House Street, Boston, MA 02110 • 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
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Boston MA 09/2009 Present
  • 09/2009 → Present
    Stifel Nicolaus & Co Inc
    Boston, MA
Previous Registrations
  • 2008-01-01 → 2009-09-04
    Portsmouth, NH
  • 2005-09-08 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Portsmouth, NH
    Portsmouth, NH
    St. Louis, MO
Other Businesses

1. Custom Coats for Critters; 36 Garland Rd, Strafford, NH 03884; Custom dog accessories; Owner; 11/29/2006; 175 Hours per Year; Not during securities trading hours; Not Investment-Related. 2. Notary Public; 1 Hours per Year; During securities trading hours; Not Investment-Related. 3. Tenants Association At Pease; PO Box 21802, Portsmouth, NH 03802-1802; An organized body of people, all of whom work on the Pease Tradeport to ensure that business can be conducted safely; Board member; COntrol and management of the affairs, property and interest of the Association; 01/01/2017; 8 Hours per Month; Not during securities trading hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-07
S63 Uniform Securities Agent State Law Examination 2000-03-06
  • S66 Uniform Combined State Law Examination
    2005-09-07
  • S63 Uniform Securities Agent State Law Examination
    2000-03-06
Other Names
  • Deanna Moreau
  • Deanna Marie Paige
  • Deanna Marie Paige

View on SEC IAPD

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