0000094403-23-000098.txt : 20230720 0000094403-23-000098.hdr.sgml : 20230720 20230720143025 ACCESSION NUMBER: 0000094403-23-000098 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: BAUER,JOSHUA,THOMAS, FILED AS OF DATE: 20230720 DATE AS OF CHANGE: 20230720 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: 231099363 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 Angela Shepard 314-342-2268 sheparda@stifel.com POEC@STIFEL.COM WILHELMM@STIFEL.COM fultzrh@stifel.com sheparda@stifel.com N 0000094403-22-000072 N JOSHUA THOMAS BAUER 7010040 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 10-19-2020 N 867-01277 LOCATED 10-19-2020 2121 AVENUE OF THE STARS (FOX PLAZA) SUITE 2100 LOS ANGELES CA 90067 10-2020 STIFEL, NICOLAUS & COMPANY, INCORPORATED LOS ANGELES CA 90067 Y Y ASSOCIATE 01-2019 10-2020 CLOCKTOWER GROUP SANTA MONICA CA 90401 N Y ANALYST ASSOCIATE 06-2018 01-2019 N/A DURHAM NC 27713 N N UNEMPLOYED 01-2017 06-2018 TRUEBRIDGE CAPITAL CHAPEL HILL NC 27517 N Y ANALYST 06-2014 01-2017 N/A KATONAH NY 10536 N N UNEMPLOYED 07-2012 06-2014 MT KISCO COUNTY CLUB MT KISCO NY 10549 N N BAG ROOM 06-2012 06-2012 N/A MT KISCO NY 10549 N N UNEMPLOYED 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 07-20-2023 Matthew Wilhelm Compliance Manager-Registration