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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-07-30 |
| CT | RA | APPROVED | 2012-05-28 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Madison | CT | 04/2012 | Present |
HIGH GROUND PARTNERS FLP; 42 MUSTANG DRIVE GUILFORD CT 06437; FAMILY PARTNERSHIP; MANAGING PARTNER; OVERSEES INVESTMENTS; BUYS AND SELLS SECURITIES; AFFILIATION STARTED 05/01/1994; 0.50 HOURS PER WEEK; NOT DURING SECURITIES TRADING HOURS; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-22 |
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