Brian Kent Maddox

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → Present
  Stifel, Nicolaus & Company, Incorporated
  Sarasota, FL

Previous Registrations

• 2011-03-31 → 2015-12-04
  Barclays Capital Inc.
  Chicago, IL
• 2009-06-01 → 2011-04-11
  Morgan Stanley
  Chicago, IL
• 1999-01-19 → 2009-06-01
  Citigroup Global Markets Inc.
  Chicago, IL
  Chicago, IL

Other Businesses

1. Rotary Club of Sarasota Bay; PO Box 755, Sarasota, FL 34230; Providing service to others; Board Member; Promote the club, help grow membership & help raise money for causes; 07/01/2022; 7 Hours per Week; During Securities Trading Hours; Not Investment-Related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-12-24
• S63 Uniform Securities Agent State Law Examination
  1982-11-17