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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2013-12-23 |
| TX | RA | APPROVED_RES | 2012-03-28 |
Branch Locations
3425 40Th Avenue Nw Suite 200, Rochester, MN 55901 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Rochester | MN | 03/2012 | Present |
1. Hiawatha Homes Foundation; 1820 Valkyrie Dr NW, Rochester, MN 55901; Care of physically and mentally challenged children and adults; Board Member; 01/01/2004; 100 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 2. Rental Property; 328 N 6th St, Mankato, MN 56001; Partner; 01/29/2021; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1986-02-18 |
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