0000094403-23-000099.txt : 20230725 0000094403-23-000099.hdr.sgml : 20230725 20230725134404 ACCESSION NUMBER: 0000094403-23-000099 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: WU,DAVID,SHIH-PING, FILED AS OF DATE: 20230725 DATE AS OF CHANGE: 20230725 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: 231107858 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 sheparda@stifel.com fultzrh@stifel.com N 0000094403-21-000051 N DAVID SHIH-PING WU 6821965 Y 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 11-09-2020 N 867-01277 LOCATED SUPERVISED 11-09-2020 1401 LAWRENCE STREET SUITE 900 DENVER CO 80202 11-2020 STIFEL NICOLAUS & CO INC New York NY 10019 Y Y PUBLIC FINANCE ANALYST 11-2018 11-2020 S&P GLOBAL COLORADO SPRINGS CO 80918 N N CLIENT SUPPORT ASSOCIATE 05-2017 11-2018 T. ROWE PRICE COLORADO SPRINGS CO 80918 N Y FINANCIAL SERVICES REPRESENTATIVE 03-2016 05-2017 THE BROADMOOR GOLF CLUB COLORADO SPRINGS CO 80918 N N ASSISTANT GOLF PROFESSIONAL 08-2013 05-2017 UNIVERSITY OF COLORADO COLORADO SPRINGS COLORADO SPRINGS CO 80918 N N STUDENT 08-2013 03-2016 STUDENT COLORADO SPRINGS CO 80918 N N STUDENT 05-2013 08-2013 STUDENT COLORADO SPRINGS CO 80918 N N STUDENT 08-2012 05-2013 STUDENT COLORADO SPRINGS CO 80918 N N STUDENT 08-2008 05-2012 AMADOR VALLEY HIGHSCHOOL PLEASANTON CA 94566 N N STUDENT 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 07-25-2023 Angela Shepard Compliance Analyst