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