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