UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant To Section 13 OR 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): April 1, 2011
STIFEL FINANCIAL CORP.
(Exact name of registrant as specified in its charter)
Delaware |
001-09305 |
43-1273600 |
One Financial Plaza
501 North Broadway, St. Louis, Missouri 63102-2102
(Address of principal executive offices, including zip code)
(314) 342-2000
(Registrant's telephone number, including area code)
Not Applicable |
||
(Former name or former address, if changed since last report) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers |
(b) On April 7, 2011, Stifel Financial Corp. (the "Company") issued a press release announcing the retirement of Scott B. McCuaig as Senior Vice President and Director of the Company and as President, Co-Chief Operating Officer, and Director of Stifel, Nicolaus & Company, Incorporated, and as President and Director of Century Securities Associates, Inc., effective April 1. A copy of the press release regarding Mr. McCuaig's retirement is furnished hereto as Exhibit 99.1.
Item 9.01 |
Financial Statements and Exhibits. |
(d) Exhibits.
99.1 | Press release dated April 7, 2011. |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
STIFEL FINANCIAL CORP. | ||
Date: April 7, 2011 |
By: |
/s/ James M. Zemlyak |
James M. Zemlyak | ||
Senior Vice President, Treasurer and Chief Financial Officer |
EXHIBIT INDEX
99.1 | Press release dated April 7, 2011. |
Exhibit 99.1
FOR IMMEDIATE RELEASE
Stifel Financial Corp. Announces Retirement of Scott B. McCuaig
ST. LOUIS, April 7, 2011 - Stifel Financial Corp. ("Stifel") announced today the retirement of Scott McCuaig as President, Co-Chief Operating Officer, and Director of its broker-dealer subsidiary, Stifel, Nicolaus & Company, Incorporated, effective April 1. Mr. McCuaig is also retiring from his role as a Senior Vice President and Director of Stifel Financial Corp. and from similar roles with other Stifel Financial subsidiaries and affiliates.
"Scott McCuaig has been an integral part of the growth and success of the Private Client Group during his tenure at Stifel Nicolaus," said Ronald J. Kruszewski, Chairman, President, and Chief Executive Officer. "Through his dedication to the recruitment of talented investment professionals and his contribution in helping us successfully retain Financial Advisors after our numerous acquisitions, Stifel has grown to become one of the largest brokerage firms in the country in terms of number of Financial Advisors. We will greatly miss his leadership, enthusiasm, and all the positive attributes he's brought to the firm, and we all thank him for his hard work and success in growing our Private Client Group business. We wish Scott all the best in his retirement from senior management of the firm."
Mr. McCuaig joined Stifel in January of 1998 as head of the firm's Private Client Group, and was named President and Co-Chief Operating Officer in 2002. Prior to joining Stifel Nicolaus, Mr. McCuaig served as Managing Director, Director of Marketing, Regional Sales Manager, and a member of the Board of Directors for Robert W. Baird & Co. He began his career at Dean Witter before becoming a retail Investment Executive and Branch Manager at The Milwaukee Company, where he was later named Senior Vice President and a member of the Executive Committee.
Stifel Financial Corp. (NYSE: SF) is a financial services holding company headquartered in St. Louis, Missouri, that conducts its banking, securities, and financial services business through several wholly owned subsidiaries. Stifel clients are primarily served in the U.S. through 311 offices in 44 states, and the District of Columbia through Stifel, Nicolaus & Company, Incorporated and Thomas Weisel Partners LLC, and in Canada through Stifel Nicolaus Canada Inc. Clients in the United Kingdom and Europe are served through offices of Stifel Nicolaus Limited and Thomas Weisel Partners International Limited. Each of the broker-dealer affiliates provide securities brokerage, investment banking, trading, investment advisory, and related financial services to individual investors, professional money managers, businesses, and municipalities. Stifel Bank & Trust offers a full range of consumer and commercial lending solutions. To learn more about Stifel, please visit the company's web site at www.stifel.com.
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For further information, contact:
James M. Zemlyak
Chief Financial Officer
(314) 342-2228
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