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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 |
|---|---|---|---|
| SD | RA | APPROVED | 2020-07-22 |
| TX | RA | APPROVED | 2020-07-20 |
Branch Locations
2401 W. Trevi Place Suite 101, Sioux Falls, SD 57108 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Sioux Falls | SD | 10/2012 | 11/2016 |
| Wells Fargo Advisors Llc | Sioux Falls | SD | 06/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Sioux Falls | SD | 11/2016 | 07/2020 |
| Stifel Nicolaus & Co Inc | Sioux Falls | SD | 07/2020 | Present |
1. Notary; 630 Creekside Trail, Harrisburg, SD 57032; Notary; 02/10/2020; 1 Hour per Week; Not During Securities Trading Hours; Not Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 2013-08-13 |
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