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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2025-04-04 |
Branch Locations
1300 Post Oak Blvd. Suites 1550 & 1540, Houston, TX 77056 • United States
Four Chasewood, 20329 State Highway 249 Suite 150, Houston, TX 77070 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Houston | TX | 10/2012 | 09/2020 |
| B.RIley Wealth Management, Inc. | Memphis | TN | 09/2020 | 04/2025 |
| B. Riley Wealth Advisors, Inc. | Memphis | TN | 07/2022 | 04/2025 |
| Stifel, Nicolaus & Company, Incorporated | Houston | TX | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-12 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-24 |
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