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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 | 2025-10-07 |
| CT | RA | APPROVED | 2023-10-23 |
| NY | RA | APPROVED | 2023-07-10 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc | New York | NY | 05/2014 | 09/2016 |
| Raymond James & Associates, Inc. | New York | NY | 09/2016 | 07/2023 |
| Stifel, Nicolaus & Company, Incorporated | New York | NY | 07/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 2010-11-10 |
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