Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-12-20 |
| PA | RA | APPROVED | 2015-12-04 |
| TX | RA | APPROVED_RES | 2015-12-04 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
2333 Ponce Deleon Boulevard Suite 900, Coral Gables, FL 33134 • United States
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 |
|---|---|---|---|---|
| Barclays Capital Inc. | New York | NY | 09/2008 | Present |
| Stifel, Nicolaus & Company, Incorporated | St. Louis | MO | 12/2015 | Present |
1) Open Surfing Season LLC; 96 Brookside Drive Greenwich CT 06831; Stock trading account; owner; buy, sell securities; affiliation started 11/16/2011; 0 hours per day; not during securities trading hours; investment-related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1979-10-15 |
Reach out to this advisor