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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 2018-01-16
MO RA APPROVED 2001-04-09
  • TX RA
    APPROVED_RES
    Since 2018-01-16
  • MO RA
    APPROVED
    Since 2001-04-09

Branch Locations

Steelville, MO • United States

1034 South Bishop Avenue, Rolla, MO 65401 • United States

8182 Maryland Ave. 10Th Floor, Clayton, MO 63105 • United States

1935 East Battlefield Rd Suite C, Springfield, MO 65804 • 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. Rolla MO 03/2001 Present
  • 03/2001 → Present
    Stifel, Nicolaus & Co., Inc.
    Rolla, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-01
S63 Uniform Securities Agent State Law Examination 1999-07-07
  • S65 Uniform Investment Adviser Law Examination
    2005-12-01
  • S63 Uniform Securities Agent State Law Examination
    1999-07-07

View on SEC IAPD

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