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