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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 |
|---|---|---|---|
| OR | RA | APPROVED | 2020-12-18 |
| CA | RA | APPROVED | 2018-04-20 |
| TX | RA | APPROVED | 2018-04-20 |
Branch Locations
Ladera Ranch, CA • United States
Bend, OR • United States
121 Sw Morrison Suite 1800, Portland, OR 97204 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Lake Oswego | OR | 10/2011 | 04/2018 |
| Stifel Nicolaus & Co Inc | Portland | OR | 04/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 1981-12-28 |
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