0000094403-23-000084.txt : 20230615 0000094403-23-000084.hdr.sgml : 20230615 20230615145918 ACCESSION NUMBER: 0000094403-23-000084 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 CORTEZ,TOBY,RONALD, FILED AS OF DATE: 20230615 DATE AS OF CHANGE: 20230615 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: 231017060 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 Matthew Wilhelm 3143427341 wilhelmm@stifel.com poec@stifel.com wilhelmm@stifel.com fultzrh@stifel.com N 0000094403-21-000080 N TOBY RONALD CORTEZ 3074556 N 1 0000094403 STIFEL, NICOLAUS & COMPANY, INCORPORATED 03-13-2015 N 867-01277 SUPERVISED 03-13-2015 501 NORTH BROADWAY ST. LOUIS MO 63102 LOCATED 03-13-2015 400 CONVENTION STREET SUITE 310 BATON ROUGE LA 70802 03-2015 STIFEL, NICOLAUS & COMPANY, INCORPORATED BATON ROUGE LA 70802 Y Y Director 04-2012 03-2015 STEPHENS BATON ROUGE LA 70802 Y Y VP / BANKER 05-1998 04-2012 SISUNG SECURITIES CORPORATION NEW ORLEANS LA 70170 Y Y V.P. PUBLIC FINANCE Y 01-2005 BECNEL AND CORTEZ LLC 935 BELLVUE PLACE JACKSON MS 39202 N N HEALTHCARE/HOSPICE CO/OWNER 0 NON-INVESTMENT RELATED 10-2011 LIFE VANTAGE CORPORATION 9815 S MONROE ST SUITE 100 SANDY UT 84070 N N HEALTH AND WELL BEING DISTRIBUTOR 0 DISTRIBUTOR 08-2021 Dirt Coaster Academy 41124 Lee Dr GONZALES LA 70737 N N Teach Mountain Bike lessons that will be donated to the Bogue Chitto Trail system and private lessons Owner and instructor with Dirt Coaster Academy 10 On weekends teach private and group mountain bike lessons 09-2018 Southeastern Foundation Southeastern Louisiana University SLU 10293 Hammond LA 70402 N N University Foundation Board Board Member / Chair Officer 1 The Board of Directors is charged with aiding University Development staff in fundraising initiatives as well as managing the Foundation's investments and finances. 05-2023 Dirt Coaster Consulting 41550 Rue Chene Ponchatoula LA 70454 N N Consulting services to assist with the building of Mountain Bike Trails Owner 16 Manage a couple people that will assist entities to build mountain bike trails 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 06-15-2023 Matthew Wilhelm Compliance Manager - Registration