0000094403-23-000106.txt : 20230821
0000094403-23-000106.hdr.sgml : 20230821
20230821084040
ACCESSION NUMBER: 0000094403-23-000106
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
MA-I INDIVIDUAL: ROCHA,NANCY,NMN,
FILED AS OF DATE: 20230818
DATE AS OF CHANGE: 20230821
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: 231187416
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
Angela Shepard
314-342-2268
sheparda@stifel.com
poec@stifel.com
wilhelmm@stifel.com
sheparda@stifel.com
N
0000094403-22-000113
N
NANCY
NMN
ROCHA
4472008
N
1
0000094403
STIFEL, NICOLAUS & COMPANY, INCORPORATED
04-24-2020
N
867-01277
LOCATED
SUPERVISED
04-24-2020
8115 PRESTON ROAD
DALLAS
TX
75225
04-2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
DALLAS
TX
75225
Y
Y
PUBLIC FINANCE DIRECTOR
12-2015
04-2020
FITCH RATINGS, INC
AUSTIN
TX
78701
N
Y
RATING ANALYST, DIRECTOR
02-2014
12-2015
UNEMPLOYED
SAN ANTONIO
TX
78251
N
N
UNEMPLOYED
10-2012
02-2014
AUA PRIVATE EQUITY PARTNERS
SAN ANTONIO
TX
78251
N
Y
VICE PRESIDENT-INVESTOR RELATIONS
01-2012
10-2012
UNEMPLOYED
SAN ANTONIO
TX
78251
N
N
UNEMPLOYED
07-2010
01-2012
NEW AMERICA ALLIANCE
DALLAS
TX
75205
N
N
SENIOR DIRECTOR-CAPITAL ADVOCACY
Y
01-2022
Dallas Police and Fire Pension System
4100 Harry Hines Blvd STE 100
Dallas
TX
75219
N
Y
DPFP- independently governed component unit of the City of Dallas and serves to provide retirement, death & disability benefits
Trustee
3
Fiduciary- responsibility of navigating complex governance, ethics, and investment decisions.
03-2023
Catholic Charities Diocese of Fort Worth Endowment, Inc
249 W Thornhill Dr.
Fort Worth
TX
76119
N
N
Charity organization
Board member
3
fiduciary-responsible for the oversight and management of a portfolio of assets known as an endowment
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
08-18-2023
Matthew Wilhelm
Compliance Manager-Registration