0000094403-18-000034.txt : 20180330
0000094403-18-000034.hdr.sgml : 20180330
20180330144024
ACCESSION NUMBER: 0000094403-18-000034
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20180327
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: 18725832
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
Sarah Long
314-342-4550
longs@stifel.com
poec@stifel.com
wilhelmm@stifel.com
N
N
CHRISTOPHER
PAUL
MORIARTY
001080018
N
1
0000094403
STIFEL, NICOLAUS & COMPANY, INCORPORATED
08-17-2015
N
867-01277
LOCATED
03-12-2018
787 7TH AVENUE
NEW YORK
NY
10019
08-2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED (793)
NEW YORK
NY
10017
Y
Y
Managing Director
06-2012
06-2015
WELLS FARGO SECURITIES, LLC (126292)
NEW YORK
NY
10017
Y
Y
MUNI ASSOCIATE
03-2012
06-2012
ON LEAVE
WESTFIELD
NJ
07090
N
N
ON LEAVE
09-2008
03-2012
BARCLAYS CAPITAL INC. (19714)
NEW YORK
NY
10019
Y
Y
SENIOR VICE PRESIDENT
07-2005
09-2008
LEHMAN BROTHERS INC. (7506)
NEW YORK
NY
10019
Y
Y
SENIOR VICE PRESIDENT
Y
08-2017
Troop 77 Boy Scouts of America Westfield NJ
Not Provided
Westfield
NJ
07090
N
N
Education of boys
Board member
5
Oversight
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
03-27-2018
Sarah Long
Manager Inst'l Registrations