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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2022-02-16 |
| NY | RA | APPROVED | 2021-09-03 |
| TX | RA | APPROVED_RES | 2021-09-01 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
Naples, FL • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 01/2007 | 08/2021 |
| Stifel Nicolaus & Co Inc | New York | NY | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1984-10-05 |
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