0000094403-22-000017.txt : 20220124
0000094403-22-000017.hdr.sgml : 20220124
20220124170803
ACCESSION NUMBER: 0000094403-22-000017
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
CAO,SHAN,NMN,
FILED AS OF DATE: 20220124
DATE AS OF CHANGE: 20220124
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: 22550234
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
Jacob Thro
314-342-8589
THROJ@STIFEL.COM
poec@stifel.com
wilhelmm@stifel.com
longs@stifel.com
throj@stifel.com
fultzrh@stifel.com
N
N
SHAN
NMN
CAO
5983247
N
1
0000094403
STIFEL, NICOLAUS & COMPANY, INCORPORATED
03-30-2015
N
867-01277
LOCATED
04-01-2019
2121 AVENUE OF THE STARS, SUITE 2100
LOS ANGELES
CA
90067
ALICE
NMN
CAO
03-2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BOSTON
MA
02067
Y
Y
Vice President, Public Finance
09-2011
03-2015
TERMINUS SECURITIES, LLC
ATLANTA
GA
30327
Y
Y
Analyst
11-2010
06-2011
FAREED WEALTH MANAGEMENT
NASHVILLE
TN
37212
N
Y
Analyst
08-2010
05-2011
VANDERBILT UNIVERSITY
Nashville
TN
37235
N
N
Student
08-2007
06-2010
UNIVERSITY OF HONG KONG
Pok Fu Lam
K3
HKU
N
N
student
06-2006
06-2007
PEKING UNIVERSITY
Beijing Shi
F4
100000
N
N
student
Y
05-2016
RESIDENTIAL PROPERTY RENTAL PROPERTY
407 GREENVILLE CT
ATLANTA
GA
30328
N
N
RENTAL PROPERTY
OWNER OF THE PROPERTY
0
RESIDENTIAL RENTAL PROPERTY
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
01-24-2022
JACOB THRO
COMPLIANCE ANALYST