John Francis Lee

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
NV	RA	APPROVED	2019-03-14

NV RA
APPROVED

Since 2019-03-14

Branch Locations

Incline Village, NV • United States

501 N. Broadway, St. Louis, MO 63102 • United States

Disclosures

2 disclosure categories 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.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Stifel, Nicolaus & Company, Incorporated	Roseville	CA	08/2007	Present

08/2007 → Present

Stifel, Nicolaus & Company, Incorporated

Roseville, CA

Previous Registrations

1997-07-08 → 2007-09-05

A. G. Edwards & Sons, Inc.

Roseville, CA

Roseville, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1981-01-20

S63 Uniform Securities Agent State Law Examination

1981-01-20

View on SEC IAPD