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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2016-12-08 |
| TX | RA | APPROVED | 2016-12-08 |
Branch Locations
One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034 • United States
17000 Kercheval Avenue Suite 240, Grosse Pointe, MI 48230 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Portage | MI | 04/2010 | 11/2016 |
| Stifel Nicolaus & Co Inc | Southfield | MI | 12/2016 | Present |
| Wells Fargo Clearing Services, Llc | Portage | MI | 11/2016 | 12/2016 |
1.FINRA; 1735 K Street NW Washington DC 20006; Financial regulatory authority; INVESTMENT RELATED; ARBITRATOR; Oversee arbitration cases; START DATE 08/29/2016; 20 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS. 2. Notary Public; 7064 Crowner Dr Lansing MI 48918; officer commissioned by the Michigan Secretary of State to verify signatures on documents; Officer; Verify persons signing documents; affiliation started 04/22/2014; 1.0 hour per year; not during securities trading hours; not investment-related. 3. AB Rental Group LLC; 16180 Elizabeth St, Franklin, MI 48025; LLC to purchase rental home; Managing Member; Act as managing member to facilitate; 11/01/2021; 1 Hour per Week; Not During Securities Trading Hours; Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-01 |
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