Neil Campbell Stone

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → Present
  Stifel, Nicolaus & Company, Incorporated
  Houston, TX

Previous Registrations

• 2013-01-15 → 2015-12-04
  Barclays Capital Inc.
  Houston, TX
  New York, NY

Other Businesses

1. Smart Flour Foods LLC; 4020 S. Industrial Austin TX 78744; Gluten free foods; Angel Investor; duties:-none; affiliation started 02/02/2015; 0 hours per day; not during securities trading hours; not investment-related. 2. Casarock 3702, LLC; 311 Pinehaven drive Houston, TX 77024; hold a vacation home for me and my family; sole member; to sign for the LLC; 05/27/2026; 1 hour/day; Not During Securities Trading Hours; Investment-Related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-30
• S63 Uniform Securities Agent State Law Examination
  1997-01-24

Other Names

• Neil Stone