0000094403-17-000151.txt : 20170928
0000094403-17-000151.hdr.sgml : 20170928
20170928155213
ACCESSION NUMBER: 0000094403-17-000151
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20170928
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04322
FILM NUMBER: 171107432
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
1
primary_doc.xml
MA-I
0000094403
XXXXXXXX
Matthew Wilhelm
314-342-7341
wilhelmm@stifel.com
poec@stifel.com
longs@stifel.com
N
N
KEVIN
DOUGLAS
LAURIE
001747795
N
1
0000094403
STIFEL, NICOLAUS & COMPANY, INCORPORATED
04-28-2017
N
867-01277
LOCATED
SUPERVISED
04-28-2017
1095 AVENUE OF THE AMERICAS
3RD & 4TH FLOORS
NEW YORK
NY
10036
04-2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (793)
NEW YORK
NY
10036
Y
Y
DIRECTOR / INVESTMENTS
09-2016
04-2017
RAYMOND JAMES & ASSOCIATES, INC. (705)
NEW YORK
NY
10281
N
Y
REGISTERED ASSOCIATE
10-2014
09-2016
DEUTSCHE BANK SECURITIES INC. (2525)
NEW YORK
NY
10005
N
Y
CLIENT ADVISOR
09-2008
10-2014
BARCLAYS CAPITAL INC. (19714)
NEW YORK
NY
10166
N
Y
REGISTERED REPRESENTATIVE
06-2001
09-2008
LEHMAN BROTHERS INC. (7506)
NEW YORK
NY
10019
N
Y
INVESTMENT REPRESENTATIVE
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
N
09-28-2017
Matthew Wilhelm
Compliance Manager - Registration