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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_RES | 2020-04-07 |
| CA | RA | APPROVED | 2015-09-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Irvine | CA | 06/2015 | Present |
1. Northwood Choral Music Boosters, Inc.; 4515 Portola Pkwy Irvine CA 92620; Volunteer organization to support choral music activities at Northwood High School; Assistant Treasurer; Manage & reconcile bank account in quickbooks, work ticket booth at performances, report financial situation at booster meetings, signatory on bank account, write checks & make deposits; 02/27/2025; 5 hrs/month; Not During Security Trading Hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-09-21 |
| S63 | Uniform Securities Agent State Law Examination | 2006-09-11 |
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