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