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