Patrick L Carey

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2009 → Present
  Stifel, Nicolaus & Company, Incorporated
  Marion, OH

Previous Registrations

• 2007-02-09 → 2009-09-25
  Ubs Financial Services Inc.
  Marion, OH
  Weehawken, NJ
• 1999-10-18 → 2007-02-09
  Keybanc Capital Markets Inc.
  Marion, OH
  Marion, OH

Other Businesses

1. The Marion Public Library; 445 E. Church St. Marion OH 43302; The public library for Marion County, Ohio; President of the Board; Runs the monthly meetings and signs checks to pay monthly bills of the library; affiliation started 06/02/2014; 2.0 hours per month; not during securities trading hours; not investment-related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-13
• S63 Uniform Securities Agent State Law Examination
  1985-04-29