-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MJHBV3nxlyM4eCbW3HhNDxi1CPcM+6VvlrJdAC/5qxD4AP30m6QDBfLAeuGnaTB/ KGURCtoOc9eUgCoxWbwtiA== 0000720672-97-000022.txt : 19971022 0000720672-97-000022.hdr.sgml : 19971022 ACCESSION NUMBER: 0000720672-97-000022 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19970926 ITEM INFORMATION: FILED AS OF DATE: 19971021 SROS: CSX SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL FINANCIAL CORP CENTRAL INDEX KEY: 0000720672 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 431273600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: SEC FILE NUMBER: 001-09305 FILM NUMBER: 97698749 BUSINESS ADDRESS: STREET 1: 500 N. BROADWAY STREET 2: 14TH FLOOR CITY: ST LOUIS STATE: MO ZIP: 63102-2188 BUSINESS PHONE: 3143422000 MAIL ADDRESS: STREET 1: 500 N BROADWAY CITY: ST LOUIS STATE: MO ZIP: 63102-2188 8-K 1 FORM 8-K; DATED SEPTEMBER 26,1997 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 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): September 26, 1997 STIFEL FINANCIAL CORP. (Exact Name of Registrant as specified in its Charter) Delaware 1-9305 43-1273600 (State of (Commission File (IRS Employer Incorporation) Number) Identification No.) 500 North Broadway St. Louis, Missouri 63102-2188 (Address of principal executive offices, including zip code) (314) 342-2000 (Registrant's telephone number, including area code) Item 5. Other Event On September 26, 1997, Stifel Financial Corp. (the "Registrant") announced the appointment of Ronald J. Kruszewski as President and Chief Executive Officer. Mr. Kruszewski will assume his responsibilities immediately. Mr. Kruszewski has been in the securities business since 1985. In 1989, he joined Robert W. Baird & Co., Incorporated ("Baird"), a regional investment banking firm located in Milwaukee, Wisconsin. He served as Managing Director and Chief Financial Officer of the holding company, which includes Baird. At Baird, he was responsible for asset management, legal, compliance, operations, information technology and finance. He also served as co-head of the Financial Institutions Corporate Finance Group. Item 7. Financial Statements, Pro Forma Financial Information and Exhibits (a) Financial Statements of Businesses Acquired. None. (b) Pro Forma Financial Information. None. (c) Exhibits. Exhibit 99: Press Release 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: October 21, 1997 By: /s/ Stephen J. Bushmann Name: Stephen J. Bushmann Title: Chief Financial Officer EX-99 2 EXIBIT 99 PRESS RELEASE STIFEL FINANCIAL CORP. Form 8-K dated September 26, 1997 Exhibit 99 [Drohlich Associates logo] DROHLICH ASSOCIATES Public Relations - ----------------------------------------------------------------- From: Michael L. Drohlich Drohlich associates 11330 Olive Blvd., Ste. 225 St. Louis, Missouri 63141 (314) 567-4030 (Office) (314) 878-6246 (Home) September 26, 1997 NEW PRESIDENT ELECTED AT STIFEL, NICOLAUS For Immediate Release ST. LOUIS. . . Ronald J. Kruszewski has been elected president and chief executive officer of Stifel Financial Corp. (NYSE: SF), according to George H. Walker III, chairman of the board. Kruszewski, age 38, had been a managing director and the chief financial officer of the holding company which includes Robert W. Baird & Co., Incorporated, Milwaukee, Wisconsin, a regional investment banking firm. At Robert W. Baird, Kruszewski was responsible for asset management, legal and compliance, operations, information technology and finance. He also served as co-head of the Financial Institutions Corporate Finance Group. He joined that company in 1989 as chief financial officer and director of strategic planning. In 1992, he began serving as a regional director of the firm's Private Client Group. He was appointed to his most recent position in 1993. Walker said, "We are delighted that Ron has decided to join our firm. His diverse experience, coupled with his youth, will provide Stifel with leadership for decades to come." -more- New President Elected at Stifel, Nicolaus September 26, 1997 Add 1-1-1 Kruszewski earned his Bachelor of Science degree in 1981 from Indiana University, Bloomington. Stifel Financial Corp. is headquartered in St. Louis, Mo. The firm is engaged in securities brokerage, investment banking and money management. It has 42 offices in 14 states and employs almost 300 investment executives. The company is a member of the New York Stock Exchange and SIPC. - End - -----END PRIVACY-ENHANCED MESSAGE-----