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Kirk David List

Stifel, Nicolaus & Company, Incorporated

Sarasota, FL

CRD 3238081

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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
FL RA APPROVED 2020-08-12
TX RA APPROVED_RES 2015-01-07
PA RA APPROVED 2010-03-10
  • FL RA
    APPROVED
    Since 2020-08-12
  • TX RA
    APPROVED_RES
    Since 2015-01-07
  • PA RA
    APPROVED
    Since 2010-03-10

Branch Locations

2 North Tamiami Trail, Sarasota, FL 34236 • 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 Beaver PA 10/2009 Present
  • 10/2009 → Present
    Stifel Nicolaus & Co Inc
    Beaver, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-03-09
S63 Uniform Securities Agent State Law Examination 1999-07-22
  • S65 Uniform Investment Adviser Law Examination
    2010-03-09
  • S63 Uniform Securities Agent State Law Examination
    1999-07-22

View on SEC IAPD

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HENDRICKS WEALTH AND ESTATE MANAGEMENT

Nearby Investors

ANGELA ROBIN HILLIARD DYCHES
Kevin St John
Thomas Donald Anderson

Nearby Offices

CPA INVESTMENT SOLUTIONS, INC. · SARASOTA, FL
EDWARD JONES · Lakewood Ranch, FL
HENDRICKS WEALTH AND ESTATE MANAGEMENT · Lakewood Ranch, FL

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