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