0000094403-21-000026.txt : 20210310 0000094403-21-000026.hdr.sgml : 20210310 20210310135314 ACCESSION NUMBER: 0000094403-21-000026 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MURDOCK,KELLY,ALLEN, FILED AS OF DATE: 20210310 DATE AS OF CHANGE: 20210310 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: 21729134 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 JAMI NOLAN 314-342-7310 nolanj@stifel.com poec@stifel.com wilhelmm@stifel.com longs@stifel.com nolanj@stifel.com N N KELLY ALLEN MURDOCK 1999999 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 09-06-2019 N 867-01277 LOCATED SUPERVISED 09-06-2019 15 WEST SOUTH TEMPLE SUITE 1090 SALT LAKE CITY UT 84101 09-2019 STIFEL NICOLAUS & CO INC SALT LAKE CITY UT 84101 Y Y DIRECTOR 04-2017 09-2019 GEORGE K. BAUM & COMPANY SALT LAKE CITY UT 84101 Y Y MUNICIPAL INVESTMENT BANKER-SVP 06-2013 03-2017 RBC CAPITAL MARKETS, LLC SALT LAKE CITY UT 84111-2280 Y Y INVESTMENT BANKER 02-2013 03-2013 UNIVERSITY OF UTAH SALT LAKE CITY UT 84112 N N PART TIME CONSULTANT 11-2009 12-2012 WELLS FARGO SECURITIES SALT LAKE CITY UT 84111 Y Y INVESTMENT BANKER 10-2000 11-2009 WELLS FARGO BROKERAGE SERVICES, LLC SALT LAKE CITY UT 84111 Y Y INVESTMENT BANKER Y 01-2017 RENTAL PROPERTY 4293 NORTH CRESTHAVEN LANE LEHI UT 84043 N N RENTAL PROPERTY OWNER 2 COORDINATION/COMMUNICATION WITH RENTERS & HOA PERSONNEL 01-2018 RENTAL PROPERTY 5559 WOODCREST DRIVE HOLLADAY UT 84117 N N RENTAL PROPERTY OWNER 4 LANDLORD DUTIES, INTERACTION WITH RENTERS 03-2021 Visual Art Institute 2901 South Highland Drive Salt Lake City UT 84106 N N Providing art classes for children teens and adults. Member Board of Directors 4 Assist the Institute in broadening its reach in the SLC valley introducing Institute's leadership to potential new benefactors providing oversight on the Institute's finances. 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 03-10-2021 JAMI NOLAN COMPLIANCE ANALYST