Ronald William Oliver

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-11-13
CA	RA	APPROVED	2013-02-21

TX RA
APPROVED_RES

Since 2019-11-13
CA RA
APPROVED

Since 2013-02-21

Branch Locations

Laguna Niguel, CA • United States

400 Spectrum Center Drive, Irvine, CA 92618 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Irvine	CA	02/2013	Present

02/2013 → Present

Stifel Nicolaus & Co Inc

Irvine, CA

Previous Registrations

2009-06-01 → 2013-03-05

Morgan Stanley

Laguna Niguel, CA
1997-07-08 → 2009-06-01

Citigroup Global Markets Inc.

Laguna Niguel, CA

Laguna Niguel, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-04-01
S63	Uniform Securities Agent State Law Examination	1987-08-10

S65 Uniform Investment Adviser Law Examination

1992-04-01
S63 Uniform Securities Agent State Law Examination

1987-08-10

Other Names

Ronald William Oliver

View on SEC IAPD