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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 | 2021-05-26 |
| AZ | RA | APPROVED | 2019-03-26 |
Branch Locations
100 Motor Parkway 2Nd Floor, Hauppauge, NY 11788 • United States
2801 East Camelback Road, Phoenix, AZ 85016 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Hauppauge | NY | 03/2019 | Present |
| First Empire Securities, Inc. | Hauppauge | NY | 04/1992 | 03/2019 |
1. Fox Sweet LLC; 29474 N 128th Lane, Peoria, AZ 85383; Real Estate Investment; Investor; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 2. 1005 E Mooreland Street, LLC; 29474 N 128th Lane, Peoria, AZ 85383; Residential Investment Property; Owner/Investor; Limited oversight; 11/01/2021; 1 Hour per Month; Not During Securities Trading Hours; Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-27 |
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