0000094403-19-000107.txt : 20191001 0000094403-19-000107.hdr.sgml : 20191001 20191001181843 ACCESSION NUMBER: 0000094403-19-000107 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 POSWALK,ROBERT,DAVID, FILED AS OF DATE: 20190930 DATE AS OF CHANGE: 20191001 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: 191130292 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 RHIANNON LANDING-FULTZ 314-342-0321 fultzrh@stifel.com poec@stifel.com wilhelmm@stifel.com longs@stifel.com MCochrane@stifel.com nolanj@stifel.com fultzrh@stifel.com N N ROBERT DAVID POSWALK 2202135 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 09-06-2019 N 867-01277 LOCATED SUPERVISED 09-06-2019 8115 PRESTON ROAD SUITE 650 DALLAS TX 75225 BOB D POSWALK 09-2019 STIFEL NICOLAUS & CO INC DALLAS TX 75225 Y Y MUNICIPAL INVESTMENT BANKER - VP 03-2013 09-2019 GEORGE K. BAUM & COMPANY DALLAS TX 75225 Y Y MUNICIPAL INVESTMENT BANKER - SVP 12-2007 01-2013 OPPENHEIMER & CO WICHITA KS 67202 N Y SENIOR QUANTITATIVE ANALYST 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 09-30-2019 PAUL AYD CHIEF COMPLIANCE OFFICER