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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 |
|---|---|---|---|
| NH | RA | APPROVED | 2009-09-03 |
Branch Locations
20 Custom House Street, Boston, MA 02110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Boston | MA | 09/2009 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-06 |
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