0000094403-23-000127.txt : 20231109
0000094403-23-000127.hdr.sgml : 20231109
20231109103138
ACCESSION NUMBER: 0000094403-23-000127
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
MA-I INDIVIDUAL: BREI,BLAKE,ROBERT,
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: 231390589
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
durbina@stifel.com
N
0000094403-21-000098
N
BLAKE
ROBERT
BREI
6899944
N
1
0000094403
STIFEL, NICOLAUS & COMPANY, INCORPORATED
04-17-2019
N
867-01277
LOCATED
04-17-2019
2801 E. CAMELBACK
SUITE 300
PHOENIX
AZ
85016
04-2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
PHOENIX
AZ
85016
Y
Y
ANALYST
11-2018
03-2019
DR. BREI
TUCSON
AZ
85712
N
N
PART-TIME SUPPORT
06-2017
10-2018
PFM ASSET MANAGEMENT LLC
CHANDLER
AZ
85225
N
Y
ANALYST
01-2017
08-2017
IMUS WILKINSON & MUNDINGER INVESTMENT MANAGEMENT
TUCSON
AZ
85718
N
Y
FINANCIAL ANALYST?
06-2016
01-2017
BULL BASIN
TUCSON
AZ
85711
N
N
SALES ASSOCIATE
08-2009
12-2016
UNIVERSITY OF ARIZONA
TUCSON
AZ
85721
N
N
STUDENT
06-2011
06-2015
DR. BREI
TUCSON
AZ
85712
N
N
SUPPORT
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