0000094403-20-000014.txt : 20200210
0000094403-20-000014.hdr.sgml : 20200210
20200210152736
ACCESSION NUMBER: 0000094403-20-000014
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
DUNN,MICHAEL,PERRY,
FILED AS OF DATE: 20200210
DATE AS OF CHANGE: 20200210
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: 20591671
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
JAMI NOLAN
314-342-7310
nolanj@stifel.com
franeys@stifel.com
POEC@STIFEL.COM
wilhelmm@stifel.com
nolanj@stifel.com
N
N
MICHAEL
PERRY
DUNN
1175657
N
1
0000094403
STIFEL, NICOLAUS & COMPANY, INCORPORATED
01-02-2015
N
01-02-2015
0000094403
LOCATED
SUPERVISED
01-02-2015
LAKEVIEW CENTER, SUITE 400
2660 EASTCHASE LANE
MONTGOMERY
AL
36117
Mike
Perry
Dunn
01-2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
ST LOUIS
MO
63102
Y
Y
MANAGING DIRECTOR
11-1987
01-2015
MERCHANT CAPITAL, LLC
MONTGOMERY
AL
36117
Y
N
MANAGING DIRECTOR/COMPLIANCE OFFICER
Y
06-2012
ALABAMA ASSOCIATION OF INDEPENDENT COLLEGES AND UNIVERSITIES
5950 CARMICHAEL PLACE
MONTGOMERY
AL
36117
N
N
N/A
BOARD MEMBER
0
TWO BOARD MEETINGS A YEAR
12-2003
Samford University
800 Lakeshore Drive
Birmingham
AL
35229
N
N
Baptist University- Higher Education, Undergratuate and graduate level. Cumberland Law School
Member of Board of Trustees
3
Typical Board Oversite responsibilities
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
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
02-10-2020
Jami Nolan
Compliance Analyst
Michael Perry Dunn
1175657
94230
6E(2)
Michael Perry Dunn
1175657
169072
6E(2)
Michael Perry Dunn
1175657
1008642
6E(2)