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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
TX RA APPROVED 2023-03-22
  • TX RA
    APPROVED
    Since 2023-03-22

Branch Locations

Four Chasewood, 20329 State Highway 249 Suite 150, Houston, TX 77070 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated The Woodlands TX 04/2011 03/2023
Bank Of America, N.A. Woodlands TX 10/2011 03/2023
Stifel, Nicolaus & Company, Incorporated Houston TX 03/2023 Present
Previous Registrations
Other Businesses

1. Faithbridge; 18000 Stuebner Airline Rd., Spring, TX 77379; Church; Caregiver; Childcare during church services on Sunday mornings or special events; 02/13/2023; 4 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 2. Favor; 2416 E 6th St Austin, TX 78702; grocery delivery; Driver; grocery delivery; 02/24/2026; 20hrs/wk; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-08
S63 Uniform Securities Agent State Law Examination 2006-05-10
  • S66 Uniform Combined State Law Examination
    2011-08-08
  • S63 Uniform Securities Agent State Law Examination
    2006-05-10
Other Names
  • Kristina L Brown
  • Kristina Lynn Brown

View on SEC IAPD

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