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.