0000094403-23-000065.txt : 20230420
0000094403-23-000065.hdr.sgml : 20230420
20230420121439
ACCESSION NUMBER: 0000094403-23-000065
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
LOCKHART,CLAUDE,VERNON,JR
FILED AS OF DATE: 20230419
DATE AS OF CHANGE: 20230420
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: 23832109
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
Matthew Wilhelm
314-342-7341
wilhelmm@stifel.com
poec@stifel.com
wilhelmm@stifel.com
fultzrh@stifel.com
N
0000094403-22-000032
N
CLAUDE
VERNON
LOCKHART
JR
6099862
N
1
0000094403
STIFEL, NICOLAUS & COMPANY, INCORPORATED
01-03-2015
N
867-01277
SUPERVISED
01-03-2015
501 NORTH BROADWAY
ST. LOUIS
MO
63102
LOCATED
11-22-2021
1 North Wacker Drive, 34th Floor
CHICAGO
IL
60606
01-2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CHICAGO
IL
60602
Y
Y
Public Finance Analyst
07-2014
12-2014
BLUE CANYON PARTNERS
EVANSTON
IL
60201
N
Y
ASSOCIATE CONSULTANT
07-2013
07-2014
BLUE PRAIRIE GROUP
CHICAGO
IL
60601
N
Y
INVESTMENT ANALYST INTERN
09-2012
06-2013
UNIVERSITY OF CHICAGO
CHICAGO
IL
60637
N
N
student
06-2012
09-2012
HARBOR LIGHT SECURITIES, LLC
BLUFFTON
SC
29910
N
Y
intern
09-2010
06-2012
University of Chicago
CHICAGO
IL
60637
N
N
student
05-2010
08-2011
YOKEM TOYOTA CAR DEALERSHIP
Shreveport
LA
71105
N
N
SUMMER PARTS DEPT EMPLOYEE
08-2006
05-2010
LOYOLA HIGH SCHOOL
SHREVEPORT
LA
71101
N
N
student
Y
04-2017
Illinois Secretary of State (Notary)
213 State Capitol
Springfield
IL
62756
N
N
Public notary
Public notary
2
Notarizing documents
09-2017
Condominium homeowner association
737 Ridge Avenue
Evanston
IL
60202
N
N
Condominium homeowner association
Treasurer
2
Help the condominium meet its financial obligations and manage its cash reserves.
09-2019
737 Ridge Condominium Association
737 Ridge Avenue
Evanston
IL
60202
N
N
Condominium association
President
4
To direct meetings and work with other board members to ensure the Association meets its obligations and keeps the facilities in a state of good maintenance
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
04-19-2023
Matthew Wilhelm
Compliance Manager - Registration