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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:

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2025-06-03
IA RA APPROVED 2025-01-27
  • SD RA
    APPROVED
    Since 2025-06-03
  • IA RA
    APPROVED
    Since 2025-01-27

Branch Locations

400 Gold Circle Suite 220, Dakota Dunes, SD 57049 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Sioux City IA 11/2021 Present
Rbc Wealth Management Dakota Dunes SD 09/2018 11/2021
Bankers Life Sioux City IA 07/2014 09/2018
  • 11/2021 → Present
    Stifel
    Sioux City, IA
  • 09/2018 → 11/2021
    Rbc Wealth Management
    Dakota Dunes, SD
  • 07/2014 → 09/2018
    Bankers Life
    Sioux City, IA
Other Businesses

1. SodHill, LLC; 5400 Myers Ct Sioux City IA 51106; Real Estate; Non Participating Participant; 07/01/2021; 0.00hrs/day; Not during securities trading hours; Investment-Related 2. Crittenton Center; 600 4th St Suite 100 Sioux City IA 51101; Child Welfare; Board Member; Discuss various topics of the organization on ideas, policies, procedures; 03/13/2024; 1 hr/month; during security trading hours; Not Investment-Related 3. Frosted; 5400 Myers Ct Sioux City IA 51106; Cupcakes and cakes; Co Owner; Baking cupcakes for parties/events; 11/01/2023; 15 hrs/month; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-24
  • S66 Uniform Combined State Law Examination
    2025-01-24
Other Names
  • Erin Marie Parkhill
  • Erin Marie Sautter

View on SEC IAPD

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