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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 2016-06-15
FL RA APPROVED 2009-08-25
  • TX RA
    APPROVED
    Since 2016-06-15
  • FL RA
    APPROVED
    Since 2009-08-25

Branch Locations

Cornerstone Office Park 1530 Cornerstone Blvd, Daytona Beach, FL 32117 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Daytona Beach FL 08/2009 Present
  • 08/2009 → Present
    Stifel Nicolaus & Co Inc
    Daytona Beach, FL
Previous Registrations
  • 2008-01-01 → 2009-08-20
    Daytona Beach, FL
  • 1994-07-18 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Ormond Beach, FL
    St. Louis, MO
    Daytona Beach, FL
Other Businesses

1. Capital Builders LLC; 308 John Anderson Drive, Ormond Beach, FL 32176; Real Estate Holding Co; Owner; 11/03/08; 0.00 Hour(s) Per Day; Not during securities trading hours; Investment-Related 2. Bahama Cay Apartments LLC; 308 John Anderson Drive, Ormond Beach, FL 32176; Real Estate Holding Company; Co-Owner; Make deposits, withdraws, all business; 07/25/2014; 2 Hours per Month; Not during securities trading hours; Investment-Related 3. R Legacy LLC; 308 John Anderson Drive, Ormond Beach, FL 32176; Family Real Estate Holding Company; Co Owner; Co Owner Manager; 01/14/2018; 1.00 Hour(s) Per Month; not during securities trading hours; Investment-Related 4. REMEY ENTERPRISES; 308 John Anderson Drive, Ormond Beach, FL 32176; Real Estate Holding Co; 1% Owner; Give advice to Son; 06/28/2013; 1 Hour per Month; Not during securities trading hours; Investment-Related 5. Fairchild Industries LLC; 308 John Anderson Drive, Ormond Beach, FL 32176; Residential Real Estate Rental Properties; Assistant Manager; Advice; 05/03/2016; 1 Hour per Month; Not during securities trading hours; Not Investment-Related 6. OLIVE & VINE LLC; 308 John Anderson Drive Ormond Beach FL 32176; Estate Planning; Member; no duties; 08/15/2025; 0 hrs/year; Not during security trading hours; Investment-Related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-03-18
  • S63 Uniform Securities Agent State Law Examination
    1986-03-18
Designations
  • Certified Financial Planner

View on SEC IAPD

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