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Francis Joseph Duff

Stifel, Nicolaus & Company, Incorporated

Kansas City, MO

CRD 717407

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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
MO RA APPROVED 2022-10-20
TX RA APPROVED 2022-10-20
  • MO RA
    APPROVED
    Since 2022-10-20
  • TX RA
    APPROVED
    Since 2022-10-20

Branch Locations

4622 Pennsylvania Avenue Suite 1210, C, Kansas City, MO 64112 • 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
Robert W Baird & Comany Kansas City MO 11/2000 10/2022
Stifel, Nicolaus & Company, Incorporated Kansas City MO 10/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-08
S63 Uniform Securities Agent State Law Examination 1980-10-31
  • S66 Uniform Combined State Law Examination
    2003-10-08
  • S63 Uniform Securities Agent State Law Examination
    1980-10-31

View on SEC IAPD

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Nearby Investors

FRANK JOSEPH JANACARO
SETH ALLAN KEETHLER
William Scott Wiley

Nearby Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Kansas City, MO
LPL FINANCIAL LLC · Kansas City, MO
U.S. BANCORP ADVISORS, LLC · Kansas City, MO

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