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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-07-28 |
| IL | RA | APPROVED | 2020-03-03 |
Branch Locations
70 West Madison Street Suite 2500, Chicago, IL 60602 • 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 |
|---|---|---|---|---|
| Stifel Nicolaus & Co., Inc. | Chicago | IL | 02/2005 | Present |
1. MASONIC FAMILY HEALTH FOUNDATION ADVOCATE ILLINOIS MASONIC MEDICAL CENTER; 3000 N HALSTED CHICAGO IL 60657; CHARITY; BOARD MEMBER; BOARD TREAS.; AFFILIATION STARTED 2/2009; 2 HOURS PER MONTH; DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 2. DOWNERS GROVE (ILLINOIS) TOWNSHIP REPUBLICAN ORGANIZATION; 1001 CURTISS ST DOWNERS GROVE IL 60515; RNC, GOP LOCAL PRECINCT COMMITTEMAN FOR DOWNERS GROVE, DUPAGE COUNTY II; COMMITTEEMAN/ADVANCEMAN; ABSENTEE BALLOTS/ELECTION RALLY; AFFILIATION STARTED 08/24/2016; 5 HOURS PER WEEK; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 1982-10-04 |
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