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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-01-04 |
| TX | RA | APPROVED_RES | 2017-10-18 |
| CA | RA | APPROVED | 2008-08-11 |
Branch Locations
500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596 • United States
14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254 • United States
2 disclosure categories 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 | Walnut Creek | CA | 08/2008 | Present |
1. The Manna Family trust (rental property); 19475 Grayhawk Dr Scottsdale AZ 85255; rental property; owner; affiliation started 02/01/2013; 1.0 hour per year; not during securities trading hours; not investment-related. 2. Rotary Club of Scottsdale North; 8711 E. Pinnacle Peak Road, PMB 138, Scottsdale, AZ 85255; Service Club; Membership Chairperson; Liaison between new and prospective members and the club; 07/03/2023; 5 Hours per Month; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-09-20 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-18 |
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