0000094403-21-000118.txt : 20211104 0000094403-21-000118.hdr.sgml : 20211104 20211104164643 ACCESSION NUMBER: 0000094403-21-000118 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 LAZALDE,CARLOS,VINCENT, FILED AS OF DATE: 20211104 DATE AS OF CHANGE: 20211104 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: 211380642 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 Long 314-342-4550 longs@stifel.com poec@stifel.com wilhelmm@stifel.com longs@stifel.com jeterj@stifel.com N N CARLOS VINCENT LAZALDE 6047423 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED Stifel Financial Corp. 04-01-2014 N 867-01277 LOCATED SUPERVISED 07-03-2017 One Montgomery Street Suites 3300, 3500, 3600, & 3700 San Francisco CA 94104 04-2014 STIFEL, NICOLAUS & COMPANY, INCORPORATED LOS ANGELES CA 90071 Y Y Assistant Vice President 07-2011 03-2014 E.J. DE LA ROSA & CO., INC. LOS ANGELES CA 90067 Y Y ASSOCIATE 08-2009 05-2011 UNIVERSITY OF SOUTHERN CALIFORNIA LOS ANGELES CA 90007 N N Graduate Student 02-2008 07-2009 VILLARAIGOSA FOR MAYOR LOS ANGELES CA 90012 N N ASSOCIATE FINANCE DIRECTOR 03-2007 01-2008 RICHARDSON FOR PRESIDENT LOS ANGELES CA 90039 N N SO. CALIF. FINANCE DIRECTOR 06-2005 01-2007 LOCKYER 2006 LOS ANGELES CA 90039 N N FINANCE DEPUTY 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 N 11-04-2021 Javonnie Jeter Compliance Analyst