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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

AuthorityCategoryStatusDate
TX RA APPROVED 2009-04-07
  • TX RA
    APPROVED
    Since 2009-04-07

Branch Locations

500 North Shoreline Suite 603, Corpus Christi, TX 78401 • 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
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Corpus Christi TX 04/2009 Present
  • 04/2009 → Present
    Stifel Nicolaus & Co Inc
    Corpus Christi, TX
Previous Registrations
  • 2008-01-01 → 2009-04-23
    Corpus Christi, TX
  • 2002-11-12 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Corpus Christi, TX
    Corpus Christi, TX
    St. Louis, MO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-04-30
  • S63 Uniform Securities Agent State Law Examination
    1982-04-30
Designations
  • Certified Financial Planner
Other Names
  • Amon Merrell Jr Clark

View on SEC IAPD

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