Steven Brian Waxgiser

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

• 07/2010 → 11/2016
  Wells Fargo Advisors Llc
  Florham Park, NJ
• 11/2016 → 11/2020
  Wells Fargo Clearing Services, Llc
  Florham Park, NJ
• 11/2020 → Present
  Stifel Nicolaus & Co Inc
  Florham Park, NJ

Previous Registrations

• 2010-08-27 → 2020-11-24
  Wells Fargo Clearing Services, Llc
  Florham Park, NJ

Other Businesses

CO-EXECUTOR FOR MOTHER'S ESTATE; INV. RELATED; FLORHAM PARK, NJ; START DATE 4/18/2017; 5 HRS PER MONTH; 2-5 HRS DURING TRADING.

Exams

• S63 Uniform Securities Agent State Law Examination
  1990-07-19

Other Names

• Steven Waxgiser