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