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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 | 2023-03-22 |
Branch Locations
Horseshoe Bay, TX • United States
Four Chasewood, 20329 State Highway 249 Suite 150, Houston, TX 77070 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 05/1980 | 03/2023 |
| Bank Of America, N.A. | Houston | TX | 05/2011 | 03/2023 |
| Stifel, Nicolaus & Company, Incorporated | 77070 | TX | 03/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-01 |
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