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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 | 2025-03-04 |
| NY | RA | APPROVED | 2023-03-16 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
Westfield, NJ • 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 |
|---|---|---|---|---|
| Deutsche Bank Securities, Inc | New York | NY | 06/2009 | 09/2016 |
| Raymond James & Associates, Inc. | New York | NY | 09/2016 | 02/2023 |
| Stifel Nicolaus | New York | NY | 02/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 1984-10-02 |
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