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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-02-16
NH RA APPROVED 2015-04-16
VT RA APPROVED 2009-09-24
  • TX RA
    APPROVED_RES
    Since 2021-02-16
  • NH RA
    APPROVED
    Since 2015-04-16
  • VT RA
    APPROVED
    Since 2009-09-24

Branch Locations

177 Western Avenue, St. Johnsbury, VT 05819 • United States

5 Maple Street, Woodsville, NH 03785 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc St. Johnsbury VT 09/2009 Present
  • 09/2009 → Present
    Stifel Nicolaus & Co Inc
    St. Johnsbury, VT
Previous Registrations
  • 2008-01-01 → 2009-09-24
    St. Johnsbury, VT
  • 1999-08-20 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    St. Johnsbury, VT
    Saint Johnsbury, VT
    St. Louis, MO
Other Businesses

1. The Killham Bear Center, Inc; PO Box 37, Lyme, NH 03768; Rescue, rehabilitate, and release orphaned, abandoned, and injured black bear cubs; Director/Board Member; Ensure organizations prosperity; 10/06/2021; 5 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 2. Butson House LLC; 1433 Lime Kiln Rd, Pike, NH 03780; Own and Manage Rental Property; Manager; 03/24/2023; 10 Hours per Month; Not During Securities Trading Hours; Investment-Related. 3. OCG, LLC; 2836 Lyndale Ave S. Minneapolis MN 55408; "Office of Curious Gifts" To receive gifts on behalf of New Hampshire Charitable Foundation & liquidate gifts for dollars; Governor; Authorize liquidation of curious gifts; 09/20/2024; 10 hrs/week; Not during securities trading hours; Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-10
S63 Uniform Securities Agent State Law Examination 1999-05-21
  • S65 Uniform Investment Adviser Law Examination
    1999-08-10
  • S63 Uniform Securities Agent State Law Examination
    1999-05-21
Other Names
  • Kenneth R Kinder

View on SEC IAPD

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