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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
SD RA APPROVED 2025-06-03
IA RA APPROVED 2025-01-02
  • SD RA
    APPROVED
    Since 2025-06-03
  • IA RA
    APPROVED
    Since 2025-01-02

Branch Locations

400 Gold Circle Suite 220, Dakota Dunes, SD 57049 • 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 Sioux City IA 10/2023 Present
L&L Distributing Sioux City IA 08/2021 09/2023
N/A Sioux City IA 03/2021 08/2021
O'DEll Electric South Sioux City NE 05/2020 02/2021
Ries Eyecare Milford IA 04/2019 03/2020
Iowa Lakes Community College Estherville IA 08/2017 01/2019
Fegenbush Construction Onawa IA 08/2016 07/2017
  • 10/2023 → Present
    Stifel
    Sioux City, IA
  • 08/2021 → 09/2023
    L&L Distributing
    Sioux City, IA
  • 03/2021 → 08/2021
    N/A
    Sioux City, IA
  • 05/2020 → 02/2021
    O'DEll Electric
    South Sioux City, NE
  • 04/2019 → 03/2020
    Ries Eyecare
    Milford, IA
  • 08/2017 → 01/2019
    Iowa Lakes Community College
    Estherville, IA
  • 08/2016 → 07/2017
    Fegenbush Construction
    Onawa, IA
Other Businesses

1. Siouxland Growth Organization; P.O. Box 3565 Sioux City, IA 51102; Attracting, developing, and retaining young professionals in the Siouxland area; Treasurer; Preparing monthly finance reports and attending board meetings to present those reports; 12/11/2025; 1hr/wk; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-30
  • S66 Uniform Combined State Law Examination
    2024-12-30

View on SEC IAPD

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