Philip William Sloan

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-06-03
MI	RA	APPROVED	2013-10-04

TX RA
APPROVED_RES

Since 2021-06-03
MI RA
APPROVED

Since 2013-10-04

Branch Locations

17000 Kercheval Avenue Suite 240, Grosse Pointe, MI 48230 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Grosse Pointe	MI	09/2013	Present

09/2013 → Present

Stifel Nicolaus & Co Inc

Grosse Pointe, MI

Previous Registrations

2010-11-04 → 2013-10-16

Ubs Financial Services Inc.

Grosse Pointe Farms, MI

Detroit, MI

Other Businesses

1. THE MAGIC MOMENTS; 34161 JEROME CHESTERFIELT TWP. MI 48047; ENTERTAINMENT; OLDIES BAND OCCASIONAL PERFORMANCES; BAND MEMBER; AFFILIATION STARTED 10/07/2014; 12 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS. 2. Rental Property; Huron Dr., Grand Bend Ontario; Family Cottage; 08/10/2018; 3.00 Hour(s) Per Quarter - not during securities trading hours; Investment-Related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-10-31
S63	Uniform Securities Agent State Law Examination	1986-04-14

S65 Uniform Investment Adviser Law Examination

2010-10-31
S63 Uniform Securities Agent State Law Examination

1986-04-14

View on SEC IAPD