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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
NJ RA APPROVED 2026-07-02
TX RA APPROVED_RES 2020-06-05
MI RA APPROVED 2017-07-31
AZ RA APPROVED 2016-10-04
IL RA APPROVED 2008-10-27
  • NJ RA
    APPROVED
    Since 2026-07-02
  • TX RA
    APPROVED_RES
    Since 2020-06-05
  • MI RA
    APPROVED
    Since 2017-07-31
  • AZ RA
    APPROVED
    Since 2016-10-04
  • IL RA
    APPROVED
    Since 2008-10-27

Branch Locations

70 West Madison Street Suite 2500, Chicago, IL 60602 • United States

14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254 • United States

Surf City, NJ • 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 Chicago IL 09/2008 Present
  • 09/2008 → Present
    Stifel Nicolaus & Co Inc
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-29
S63 Uniform Securities Agent State Law Examination 1987-02-11
  • S65 Uniform Investment Adviser Law Examination
    1997-12-29
  • S63 Uniform Securities Agent State Law Examination
    1987-02-11
Other Names
  • John Riley

View on SEC IAPD

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