0000094403-18-000036.txt : 20180330 0000094403-18-000036.hdr.sgml : 20180330 20180330143738 ACCESSION NUMBER: 0000094403-18-000036 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180328 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: 18725824 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 Stacey Lee Berlinger 005841990 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 11-30-2017 N 867-01277 LOCATED SUPERVISED 11-30-2017 1401 LAWRENCE STREET SUITE 900 DENVER CO 80202 11-2017 STIFEL, NICOLAUS & COMPANY, INCORPORATED (793) DENVER CO 80202 Y Y ASSISTANT VICE PRESIDENT 06-2013 11-2017 PIPER JAFFRAY & CO. (665) DENVER CO 80202 Y Y SALES ASSISTANT AND ANALYST ASSOCIATE 12-2011 06-2013 ALPS DISTRIBUTORS, INC. (16853) DENVER CO 80203 N Y FINANCIALS / NSCC REP 06-2011 12-2011 BOULDER TICKETS BOULDER CO 80309 N N ADMIN ASSISTANT 08-2008 05-2011 UNIVERSITY OF COLORADO BOULDER CO 80309 N N STUDENT 05-2008 08-2008 GLENMOOR COUNTRY CLUB CHERRY HILLS VILLAGE CO 80113 N N TENNIS INSTRUCTOR 08-2007 05-2008 GEORGE MASON UNIVERSITY FAIRFAX VA 22030 N N STUDENT 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 03-28-2018 Sarah Long Manager Inst'l Registrations