0000094403-16-000126.txt : 20160615 0000094403-16-000126.hdr.sgml : 20160615 20160615112605 ACCESSION NUMBER: 0000094403-16-000126 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160614 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL, NICOLAUS & COMPANY, INCORPORATED CENTRAL INDEX KEY: 0000094403 IRS NUMBER: 430538770 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04322 FILM NUMBER: 161714687 BUSINESS ADDRESS: STREET 1: 501 NORTH BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102 BUSINESS PHONE: 314-342-7341 MAIL ADDRESS: STREET 1: 501 NORTH BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102 FORMER COMPANY: FORMER CONFORMED NAME: STIFEL NICOLAUS & CO INC DATE OF NAME CHANGE: 20020301 FORMER COMPANY: FORMER CONFORMED NAME: STIFEL NICOLAUS & CO INC /MO/ /BD DATE OF NAME CHANGE: 19940708 MA-I/A 1 primary_doc.xml MA-I/A 0000094403 XXXXXXXX CATHY POE 3143422243 POEC@STIFEL.COM franeys@stifel.com smithrya@stifel.com N N DAVID AARON DILL 005605853 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 01-02-2015 N 01-02-2015 0000094403 LOCATED 01-02-2015 10500 NE 8TH ST SUITE 1410 BELLEVUE WA 98004 SUPERVISED 01-02-2015 LAKEVIEW CENTER, SUITE 400 2660 EASTCHASE LANE MONTGOMERY AL 36117 01-2015 STIFEL, NICOLAUS & COMPANY, INCORPORATED ST LOUIS MO 63102 Y Y VICE PRESIDENT 12-2010 01-2015 MERCHANT CAPITAL, LLC MONTGOMERY AL 36117 Y N VICE PRESIDENT 09-2008 11-2010 GEORGE K BAUM $ COMPANY BELLEVUE WA 98004 Y Y RESEARCH ANALYST 06-2008 09-2008 UNEMPLOYED SEATTLE WA 98115 N N UNEMPLOYED 10-2004 06-2008 UNIVERSITY OF WASHINGTON SEATTLE WA 98195 N N STUDENT 01-2000 10-2004 BELLEVUE HIGH SCHOOL BELLEVUE WA 98004 N N STUDENT Y 08-2008 SIGMA CHI BUILDING ASSOCIATION 5048 ROOSEVELET WAY NE SEATTLE WA 98105 N N OWNS AND OPERATES A FRATERNITY CHAPTER HOUSE USED TO HOUSE UNDERGRADUATE STUDENTS AT THE UNIVERSITY OF WASHINGTON CAMPUS TREASURER 10 INTERACT WITH AN ACCOUNTING FIRM TO OVERSEE THE ORGANIZATIONS FINANCES N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 06-14-2016 Sarah Franey Mgr. Inst'l Reg.