Thomas John Cavalier

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2009 → Present
  Stifel Nicolaus & Co Inc
  Youngstown, OH

Previous Registrations

• 2003-01-15 → 2009-06-10
  Butler, Wick & Co., Inc.
  Youngstown, OH
  Youngstown, OH

Other Businesses

1. The Butler Institute of American Art; 524 Wick Avenue Youngstown, OH 44502; Art Museum; Board of Trustees; Typical role of a board member of a non-profit organization; 07/01/1987; 3hrs/qtr; During securities trading hours; Not investment related 2. Youngstown State University Foundation; 655 Wick Avenue Youngstown OH 44502; Provides Scholarships and support to YSU students; Board of Trustees; Typical responsibilities of trustees of a non-profit organization; 07/01/1987; 3 hrs/quarter; During security trading hours; Not Investment-Related

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-02-12
• S63 Uniform Securities Agent State Law Examination
  1988-06-15