0000094403-23-000103.txt : 20230818 0000094403-23-000103.hdr.sgml : 20230818 20230818145623 ACCESSION NUMBER: 0000094403-23-000103 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: BUCKFIRE,KENNETH,ALAN, FILED AS OF DATE: 20230818 DATE AS OF CHANGE: 20230818 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 SEC ACT: 1934 Act SEC FILE NUMBER: 868-04322 FILM NUMBER: 231185518 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 1 primary_doc.xml MA-I 0000094403 XXXXXXXX Angela Shepard 314-342-2268 sheparda@stifel.com sheparda@stifel.com N N Kenneth Alan Buckfire 1713009 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 07-31-2023 N 867-01277 LOCATED 07-31-2023 787 7TH AVENUE New York NY 10019 07-2023 Stifel New York NY 10019 Y Y Miller Buckfire Division President 12-2012 07-2023 Miller Buckfire Division President New York NY 10019 Y Y President 04-2002 12-2012 MILLER BUCKFIRE LEWIS & CO., LLC New York NY 10019 Y Y Managing Member Y 05-2016 Columbia University Graduate School Of Business 665 W 130th St New York NY 10027 N N Teaching Visiting Professor 40 Teaching 05-1999 Zell Lurie/University of Michigan 701 Tappan Avenue Ann Arbor MI 48109 N N Education Member Of Advisory Board 2 Advice 06-2007 ProClara Biosciences Inc 85 Bolton Street Cambridge MA 02140 N N Pharmaceutical development Member of the Board of Directors 1 Member of the Board of Directors 05-2019 Purdue Pharma LP 201 Tresser Blvd Stamford CT 06901 N N pharmaceutical development and manufacturing Serve as independent director on the board 4 Serve as independent director on the board 03-2021 Volatility and Risk Institute New York University 40 West Forth Street New York NY 10012 N N Research on financial markets volatility Advisory Director 6 Advisory Director 09-2021 Amyl Therapeutics Val Benoit, Batiment Genie Civil, 6 quai Banning Leige C9 6 quai N N Biotechnology Board Of Directors 6 Board Of Directors 07-2023 New Mountain Capital 1633 Broadway 48th Floor New YOrk NY 10019 N N Board Of Advisors Board Of Advisors 0 Board Of Advisors 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 08-18-2023 Matthew Wilhelm Compliance Manager - Registration