Maurice James Griffin

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → Present
  Stifel Nicolaus & Co Inc
  Lake Forest, IL

Previous Registrations

• 2008-01-01 → 2014-09-04
  Wells Fargo Clearing Services, Llc
  Lake Forest, IL
• 2004-10-21 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Lake Forest, IL
  Lake Forest, IL
  St. Louis, MO

Exams

• S66 Uniform Combined State Law Examination
  2006-03-06
• S63 Uniform Securities Agent State Law Examination
  1986-01-31

Other Names

• Maurice James Griffin