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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 | 2024-09-19 |
| NY | RA | APPROVED | 2021-05-26 |
| FL | RA | APPROVED | 2021-05-11 |
Branch Locations
Punta Gorda, FL • United States
12800 University Drive Suite 300, Fort Myers, FL 33907 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Poughkeepsie | NY | 03/1995 | 12/2017 |
| Bank Of America,Na | Poughkeepsie | NY | 12/2009 | 12/2017 |
| Stifel Nicolaus & Co Inc | Fort Myers | FL | 12/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-29 |
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