STIFEL, NICOLAUS & COMPANY, INCORPORATED
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STIFEL, NICOLAUS & COMPANY, INCORPORATED
(CRD# 793)
is an SEC-Registered Investment Advisor (RIA), headquartered in
St Louis, MO.
The SEC approved the firm to operate as an RIA in
May 1975.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$74.6 Billion,
with discretion over
57%
of those assets.
Pooled investment vehicles (Private Funds) account for
1%
of RAUM.
Non-US investors represent
0%
.
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STIFEL, NICOLAUS & COMPANY, INCORPORATED
also reported in
Mar 2019
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5746
employees,
with
3940
performing advisory functions.
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A total of 407 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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STIFEL, NICOLAUS & COMPANY, INCORPORATED has one or more disclosure events currently on file with the SEC.
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STIFEL, NICOLAUS & COMPANY, INCORPORATED has Notice Filings with the following State Securities Authorities: <
AK-Jul 2002, AL-Jun 2004, AR-Jan 2000, AZ-Oct 2003, CA-Jul 1997
, CO-Apr 1999, CT-Nov 2005, DC-Nov 2004, DE-Mar 2006, FL-Feb 1991
, GA-Aug 1995, HI-Jul 2000, IA-Jan 2000, ID-Mar 2006, IL-Jan 1998
, IN-Feb 2001, KS-Feb 1999, KY-Feb 2004, LA-Oct 2001, MD-Jan 1998
, ME-Mar 2006, MI-Oct 2002, MN-Jan 2000, MO-Jan 1984, MS-Jan 2001
, MT-Mar 2006, NC-Feb 2003, ND-Mar 2006, NE-Jun 2000, NH-Sep 2003
, NJ-Sep 2003, NM-Mar 2006, NV-Sep 2000, NY-Jun 2003, OH-Mar 2000
, OK-Oct 2001, OR-Jan 2002, PA-Sep 2003, PR-Mar 2016, RI-Mar 2006
, SC-Jan 2001, SD-Mar 2006, TN-Apr 2002, TX-Aug 1973, UT-Mar 2006
, VA-Jul 2000, VI-Apr 2007, VT-Mar 2006, WA-Jun 2000, WI-Dec 1999
, WV-Mar 2006, WY-Jul 2017
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
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SEC. Feel free to contact
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