Kim Fielding Smith

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

• 03/2009 → Present
  Stifel, Nicolaus & Company, Incorporated
  Salem, OH

Previous Registrations

• 2007-09-21 → 2009-03-10
  Butler, Wick & Co., Inc.
  Youngstown, OH
  Warren, OH
  Salem, OH
  Salem, OH

Other Businesses

1. Ohio Valley Energy; 200 Victory Road #4, Youngstown, OH 44515; Oil/Gas well drilling and service; Lessor; Receive royalty checks; 06/05/2007; 0 Hours per Year; Not During Securities Trading Hours; Investment-Related.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-09-19
• S63 Uniform Securities Agent State Law Examination
  1983-04-28