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