0000094403-20-000008.txt : 20200114 0000094403-20-000008.hdr.sgml : 20200114 20200114162412 ACCESSION NUMBER: 0000094403-20-000008 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MATLOSZ,ALAN,THOMAS, FILED AS OF DATE: 20200113 DATE AS OF CHANGE: 20200114 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: 20526276 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 Matthew Wilhelm 314-342-7341 wilhelmm@stifel.com nolanj@stifel.com poec@stifel.com longs@stifel.com fultzrh@stifel.com MCochrane@stifel.com N N ALAN THOMAS MATLOSZ 2259304 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 09-27-2019 N 867-01277 LOCATED SUPERVISED 01-13-2020 1401 LAWRENCE STREET DENVER CO 80202 09-2019 STIFEL NICOLAUS & CO INC SALT LAKE CITY UT 84101 Y Y MANAGING DIRECTOR 05-1994 09-2019 GEORGE K. BAUM & COMPANY SALT LAKE CITY UT 84101 Y Y MUNICIPAL INVESTMENT BANKER - SVP Y 01-2011 COLORADO FOUNDATION FOR WATER EDUCATION 1580 LOGAN STREET SUITE 420 DENVER CO 80203 N N EDUCATIONAL BOARD MEMBER AND ASSISTANT TREASURER 5 BOARD MEMBER DUTIES 01-2012 STATE OF COLORADO, DEPT OF LOCAL AFFAIRS 1313 SHERMAN STREET ROOM 518 DENVER CO 80203 N N MAIN STREET ADVISORY BOARD MEMBER 5 ADVISORY DUTIES 01-2014 COLORADO PRESERVATION INC 1420 OGDEN STREET SUITE 104 DENVER CO 80218 N N STATEWIDE HISTORIC PRESERVATION BOARD MEMBER/TREASURER 5 BOARD MEMBER DUTIES 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 01-13-2020 Matthew Wilhelm Compliance Manager - Registration