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Stifel, Nicolaus & Company, Incorporated CRD 793
$198B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
501 N Broadway, St Louis, MO 63102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-26 |
| TX | RA | APPROVED_RES | 2020-02-05 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | New York | NY | 11/2012 | Present |
1. ANALYST CLUB; 400 E. 85th St, New York, NY 10028; Group of Investment Professionals meet monthly to discuss markets and trends; Treasurer; Collect dues and pay expenses; 1/2/1995; 2 hr/mo; Not During Securities Trading Hours; Investment Related. 2. Cal Far Energy LLC;521 Main St Towanda PA 18848;Real Estate and Mineral royalties; Shareholder/Investor;8/24/09; 2 hr/yr; not during securities trading hours; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1979-09-27 |
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