0000094403-20-000077.txt : 20200929 0000094403-20-000077.hdr.sgml : 20200929 20200929090737 ACCESSION NUMBER: 0000094403-20-000077 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 TOPALIAN,ADAM,VARTAN, FILED AS OF DATE: 20200928 DATE AS OF CHANGE: 20200929 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: 201206673 BUSINESS ADDRESS: STREET 1: 501 NORTH BROADWAY CITY: ST. LOUIS STATE: MO ZIP: 63102 BUSINESS PHONE: 314-342-2110 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 Sarah 314-342-4550 longs@stifel.com poec@stifel.com wilhelmm@stifel.com nolanj@stifel.com N N ADAM VARTAN TOPALIAN 1104727 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 12-04-2015 N 867-01277 LOCATED SUPERVISED 12-04-2015 1095 AVENUE OF THE AMERICAS 3RD & 4TH FLOORS NEW YORK NY 10036 12-2015 STIFEL, NICOLAUS & COMPANY, INCORPORATED (793) NEW YORK NY 10036 Y Y Director/Investments 09-2008 12-2015 BARCLAYS CAPITAL INC. (19714) NEW YORK NY 10019 N Y REGISTERED REPRESENTATIVE 08-2005 09-2008 LEHMAN BROTHERS INC. (7506) NEW YORK NY 10019 N Y SR VICE PRESIDENT Y 02-1995 AVSOT INC. 18 CEDAR HILL LANE POUND RIDGE NY 10576 N N Wife's Publilc Relations Consulting Business CO-OWNER 2 Books & Records & Taxes 01-2007 350 GROVERS INC. 18 CEDAR HILL LANE POUND RIDGE NY 10576 N N Rental Real Estate General Partner 2 FINANCE 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 09-28-2020 SARAH LONG MGR. COMPLIANCE