0000094403-14-000067.txt : 20141218
0000094403-14-000067.hdr.sgml : 20141218
20141218151439
ACCESSION NUMBER: 0000094403-14-000067
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20141002
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: 141295522
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
Cathy Poe
314-342-2243
poec@stifel.com
fisterm@stifel.com
N
Thomas
Marc
Crabtree
004605362
N
1
0000094403
STIFEL, NICOLAUS & COMPANY, INCORPORATED
06-02-2008
N
09-26-2014
0000094403
LOCATED
06-02-2008
501 NORTH BROADWAY
ST. LOUIS
MO
63102
06-2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
St. Louis
MO
63102
Y
Y
Director
11-2007
05-2008
WACHOVIA CAPITAL MARKETS, LLC
St. Louis
MO
63102
Y
Y
Public Finance
11-2002
11-2007
A. G. EDWARDS & SONS, INC.
St. Louis
MO
63103
Y
Y
Reg Muni Sales Liaison Trainee
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
10-01-2014
John Olsen
Compliance Director