Robert Thomas Friedmann

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	2020-08-13
FL	RA	APPROVED	2009-03-16

TX RA
APPROVED_RES

Since 2020-08-13
FL RA
APPROVED

Since 2009-03-16

Branch Locations

3777 Tamiami Trail North Suite 300, Naples, FL 34103 • United States

Disclosures

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.

Regulatory action No
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 & Co Inc	Naples	FL	02/2009	Present

02/2009 → Present

Stifel Nicolaus & Co Inc

Naples, FL

Previous Registrations

2006-02-21 → 2009-03-12

Citigroup Global Markets Inc.

Naples, FL

Naples, FL

Naples, FL

Naples, FL

New York, NY

Naples, FL
1996-02-08 → 2006-02-21

Legg Mason Wood Walker, Incorporated

Naples, FL

Other Businesses

1. Corpus Christi Chapel; 7775 Vanderbilt Beach Rd, Naples, FL 34120; Traditional Roman Catholic Church; Member of the Finance Committee; Perform quarterly reviews; 01/30/2018; 2 Hours per Quarter; During Securities Trading; Not Investment-Related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-12-27
S63	Uniform Securities Agent State Law Examination	1981-04-24

S65 Uniform Investment Adviser Law Examination

1996-12-27
S63 Uniform Securities Agent State Law Examination

1981-04-24

View on SEC IAPD