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