0000094403-15-000008.txt : 20150120 0000094403-15-000008.hdr.sgml : 20150119 20150120150537 ACCESSION NUMBER: 0000094403-15-000008 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150115 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: 15535675 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 3143422243 POEC@STIFEL.COM FISTERM@STIFEL.COM N N KEN CLIFF FUNDERBURK 002045015 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 01-02-2015 N 01-02-2015 0000094403 LOCATED SUPERVISED 01-02-2015 LAKEVIEW CENTER, SUITE 400 2660 EASTCHASE LANE MONTGOMERY AL 36117 KENNETH CLIFF FUNDERBURK 01-2015 STIFEL, NICOLAUS & COMPANY, INCORPORATED ST LOUIS MO 63102 Y Y MANAGING DIRECTOR 01-1990 01-2015 MERCHANT CAPITAL, LLC MONTGOMERY AL 36117 Y N EXECUTIVE VICE PRESIDENT 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 01-15-2015 MIMI FISTER COMPLIANCE OFFICER