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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2010-03-10 |
| WI | RA | APPROVED | 2009-10-23 |
Branch Locations
One Corporate Drive Suite 602, Wausau, WI 54401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Wausau | WI | 10/2009 | Present |
Silver M Club Inc; N820 Center Ave. Merrill WI 54452; High school football Booster Club; Investment Committee member; review the Clubs investment accounts; 01/01/2018; 2.00 Hour(s) Per Year; not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1984-08-21 |
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