Gary Alan King

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	2009-10-15
OK	RA	APPROVED	2009-04-01

TX RA
APPROVED

Since 2009-10-15
OK RA
APPROVED

Since 2009-04-01

Branch Locations

2100 South Utica Avenue Suite 100, Tulsa, OK 74114 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Tulsa	OK	04/2009	Present

04/2009 → Present

Stifel Nicolaus & Co Inc

Tulsa, OK

Previous Registrations

2008-01-01 → 2009-04-29

Wells Fargo Clearing Services, Llc

Tulsa, OK
1992-01-31 → 2008-01-01

A. G. Edwards & Sons, Inc.

Tulsa, OK

Tulsa, OK

St. Louis, MO

Other Businesses

1. King Stock Farm; 18728 S Mingo Rd Bixby OK 74008; Co-owner; Rancher; 1/1/2009; 5 hours per week; not during securities trading hours; not investment related 2. King Stock Farm (Rental Property); 18728 S. Mingo Rd. Bixby OK 74008; Livestock and ranching; Co-owner with spouse; Oversight, management, labor; 03/15/2024; 10.00/week; during securities trading hours; investment related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-08-10
S63	Uniform Securities Agent State Law Examination	1979-10-03

S65 Uniform Investment Adviser Law Examination

2009-08-10
S63 Uniform Securities Agent State Law Examination

1979-10-03

View on SEC IAPD