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