0000094403-23-000126.txt : 20231109
0000094403-23-000126.hdr.sgml : 20231109
20231109103146
ACCESSION NUMBER: 0000094403-23-000126
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
MA-I INDIVIDUAL: BARTOLOTTA,EMILY,JOAN,
FILED AS OF DATE: 20231108
DATE AS OF CHANGE: 20231109
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: 231390590
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
wilhelmm@stifel.com
poec@stifel.com
sheparda@stifel.com
N
0000094403-18-000111
N
EMILY
JOAN
BARTOLOTTA
6602900
Y
1
0000094403
STIFEL, NICOLAUS & COMPANY, INCORPORATED
02-10-2017
N
867-01277
LOCATED
SUPERVISED
02-10-2017
ONE MONTGOMERY STREET
SUITES 3300, 3500, 3600, & 3700
SAN FRANCISCO
CA
94104
02-2017
STIFEL NICOLAUS & COMPANY
SAN FRANCISCO
CA
94104
Y
Y
ANALYST
09-2012
01-2017
NORTHEASTERN UNIVERSITY
BOSTON
MA
02115
N
N
STUDENT
09-2016
12-2016
NORTHEASTERN UNIVERSITY D'AMORE-MCKIM SCHOOL OF BUSINESS
BOSTON
MA
02115
N
N
TEACHING ASSISTANT
01-2016
06-2016
STIFEL, NICOLAUS & COMPANY
SAN FRANCISCO
CA
94104
Y
Y
INTERN
06-2015
01-2016
UNEMPLOYED
SAN FRANCISCO
CA
94104
N
N
N/A
01-2015
06-2015
SCOTIABANK
NEW YORK
NY
10281
N
Y
INTERN
06-2014
01-2015
UNEMPLOYED
NEW YORK
NY
10281
N
N
N/A
01-2014
06-2014
MFS INVESTMENT MANGEMENT
BOSTON
MA
02199
N
Y
INTERN
08-2013
01-2014
UNEMPLOYED
BOSTON
MA
02199
N
N
N/A
07-2012
08-2013
SURFLIGHT THEATRE COMPANY
BEACH HAVEN
NJ
08008
N
N
CASHIER
09-2007
06-2012
WILTON PUBLIC SCHOOLS
WILTON
CT
06897
N
N
STUDENT
08-2011
06-2012
WILTON PUBLIC SCHOOLS
WILTON
CT
06897
N
N
STUDENT
07-2008
08-2011
THE CANDY STORE
BEACH HAVEN
NJ
08008
N
N
CASHIER
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
11-08-2023
Matthew Wilhelm
Compliance Manager-Registration