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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2022-08-22 |
| TX | RA | APPROVED_RES | 2022-08-22 |
Branch Locations
1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 02/2009 | 08/2022 |
| Stifel, Nicolaus & Company, Incorporated | New York | NY | 08/2022 | Present |
1. Rental Property; East 58th St, New York, NY; Rental Property; Owner; 09/23/2004; 20 Hours per Year; Not during securities trading hours; Investment-Related. 2. KRM Designs Inc.; 43 Beacon Hill Rd, Port Washington, NY 11050; Real Estate Management; VP; 01/01/2020; .10 Hours per Day; Not during Securities trading hours; Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 1985-01-02 |
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