0000094403-19-000113.txt : 20191002 0000094403-19-000113.hdr.sgml : 20191002 20191002082320 ACCESSION NUMBER: 0000094403-19-000113 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 SHOGREN,BRET,MICHAEL, FILED AS OF DATE: 20190930 DATE AS OF CHANGE: 20191002 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: 191130840 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 Jami Nolan 314-342-7310 nolanj@stifel.com nolanj@stifel.com poec@stifel.com wilhelmm@stifel.com longs@stifel.com fultzrh@stifel.com MCochrane@stifel.com N N BRET MICHAEL SHOGREN 6227405 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 09-05-2019 N 867-01277 LOCATED SUPERVISED 09-05-2019 301 N MAIN ST WICHITA KS 67202 09-2019 STIFEL, NICOLAUS & COMPANY, INCORPORATED WICHITA KS 67202 Y Y DIRECTOR 07-2013 09-2019 GEORGE K. BAUM & COMPANY KANSAS CITY MO 64112 Y Y MUNICIPAL INVESTMENT BANKING ANALYST - AVP 06-2008 07-2013 MID CONTINENT CONTROLS DERBY KS 67037 N N CUSTOMER SERVICE 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 09-30-2019 Paul Ayd CCO