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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
TX RA APPROVED_RES 2019-07-30
IN RA APPROVED 2009-06-04
  • TX RA
    APPROVED_RES
    Since 2019-07-30
  • IN RA
    APPROVED
    Since 2009-06-04

Branch Locations

10550 Broadway, Crown Point, IN 46307 • 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
Stifel Nicolaus & Co Inc Crown Point IN 06/2009 Present
  • 06/2009 → Present
    Stifel Nicolaus & Co Inc
    Crown Point, IN
Previous Registrations
  • 2008-01-01 → 2009-06-05
    Merrillville, IN
  • 1998-12-30 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Chesterton, IN
    St. Louis, MO
    Chesterton, IN
Other Businesses

1.Porter County Airport; 4207 Murvihill Rd, Valparaiso IN 46383; Board Member; 07/01/2006; 2.00 Hour(s) Per Month; Not during securities trading hours; Not Investment-Related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-05-05
  • S63 Uniform Securities Agent State Law Examination
    1983-05-05

View on SEC IAPD

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