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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
NY RA APPROVED 2024-07-15
NC RA APPROVED 2023-08-30
TX RA APPROVED 2023-08-30
  • NY RA
    APPROVED
    Since 2024-07-15
  • NC RA
    APPROVED
    Since 2023-08-30
  • TX RA
    APPROVED
    Since 2023-08-30

Branch Locations

1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • 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
Ubs Financial Services Inc. Wilmington NC 02/2022 10/2022
Of The Essence Designs Wilmintgon NC 10/2019 02/2022
Brasserie Du Solei Wilmington NC 01/2019 10/2019
Osteria Cicchetti Wilmintgon NC 09/2015 10/2018
Stifel Wilmington NC 10/2022 Present
  • 02/2022 → 10/2022
    Ubs Financial Services Inc.
    Wilmington, NC
  • 10/2019 → 02/2022
    Of The Essence Designs
    Wilmintgon, NC
  • 01/2019 → 10/2019
    Brasserie Du Solei
    Wilmington, NC
  • 09/2015 → 10/2018
    Osteria Cicchetti
    Wilmintgon, NC
  • 10/2022 → Present
    Stifel
    Wilmington, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-28
  • S66 Uniform Combined State Law Examination
    2023-08-28
Other Names
  • Adrieanna Piantedosi

View on SEC IAPD

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