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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
TX RA APPROVED 2025-04-04
  • TX RA
    APPROVED
    Since 2025-04-04

Branch Locations

1300 Post Oak Blvd. Suites 1550 & 1540, Houston, TX 77056 • 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
B. Riley Wealth Management Houston TX 12/2012 04/2025
B. Riley Wealth Advisors, Inc. Houston TX 07/2022 04/2025
Stifel, Nicolaus & Company, Incorporated Houston TX 04/2025 Present
Previous Registrations
Other Businesses

1. Atlantis Software Co; 4 Buckingham Ct Houston TX 77024; Publishing and energy reiki service; 50% owner; secretary; 1/7/2000; 1 hour per week; not during securities trading hours; Not Inv Related 2. Buckingham Ct HOA; 4 Buckingham Ct Houston TX 77024; Architectural committee member; Reviewing building and improvements; 9/1/2015; 2 hours per year; not during securities trading hours; Not Inv Related 3. VitalithMD; 4 Buckingham Ct Houston TX 77024; Nutraceutical nutrition. (vitamins/mineral supplement); 50% owner, my wife Elisa Medhus MD 50%; Secretary; 03/10/2025; 5 hrs/quarter; Not during security trading hours; Not Investment-Related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-07
S63 Uniform Securities Agent State Law Examination 1984-05-03
  • S66 Uniform Combined State Law Examination
    2006-02-07
  • S63 Uniform Securities Agent State Law Examination
    1984-05-03

View on SEC IAPD

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