-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MIDMw35owHuzieVBDfqAUSKM0V+GaxzOa6B8nlNlWgfMU9qSc+LGwE6u0l8A5dNp QvT7sgyuEHJVgDl2Q6iiBg== 0000948905-02-000018.txt : 20021105 0000948905-02-000018.hdr.sgml : 20021105 20021105142332 ACCESSION NUMBER: 0000948905-02-000018 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021105 EFFECTIVENESS DATE: 20021105 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STIFEL NICOLAUS & CO INC \MO\ CENTRAL INDEX KEY: 0000948905 IRS NUMBER: 430538770 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06972 FILM NUMBER: 02809631 BUSINESS ADDRESS: STREET 1: 500 N BROADWAY ST CITY: ST LOUIS STATE: MO ZIP: 63102 MAIL ADDRESS: STREET 1: 501 N BROADWAY CITY: ST LOUIS STATE: MO ZIP: 63102 13F-HR 1 s13f3-02.txt TXT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2002 Check here if Amendment [ ]; Amendment Number: This Amendment (Check Only One): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Stifel, Nicolaus & Company, Incorporated Address: One Financial Plaza, 501 N. Broadway St. Louis, Missouri 63102 13F File Number: 28-6972 The institutional investment manager filing this report & the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items,statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Scott McCuaig Title: President & Co-Chief Operating Officer Phone: (314) 342-2844 Signature, Place, and Date of Signing: Scott McCuaig St. Louis, Missouri November 5, 2002 Report Type: (Check only one): [X] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. PORTVUE-SEC13F.LRP STIFEL NICOLAUS & CO., INC. PAGE 1 RUN DATE: 10/24/02 2:30 P.M. FORM 13F INFORMATION TABLE AS OF DATE: 09/30/02 VALUE SHARES/ SH/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN DSCRETN MGRS SOLE SHARED NONE TITLE - --------------------- ------ ---------- -------- ------- ---- ------- ----- ------ --------- ----- 3M COMPANY COM COM 88579Y101 358 3251 SH SOLE 2902 0 349 ABBOTT LABS COM 002824100 4300 106443 SH SOLE 90081 0 16362 ABITIBI-CONSOLIDATED COM 003924107 81 12020 SH SOLE 12020 0 0 ADC TELECOMMUNICATION COM 000886101 18 15375 SH SOLE 15375 0 0 AER ENERGY RES INC COM 000944108 1 43329 SH SOLE 43329 0 0 AFLAC INC COM 001055102 289 9413 SH SOLE 7809 0 1604 ALCOA INC COM COM 013817101 1080 55977 SH SOLE 47174 0 8803 AMERICAN EXPRESS CO COM 025816109 322 10327 SH SOLE 9667 0 660 AMERICAN INTL GROUP I COM 026874107 2591 47368 SH SOLE 41155 0 6213 AMERICAN PWR CONVERSI COM 029066107 622 65050 SH SOLE 55050 0 10000 AMERICAN STD COS INC COM 029712106 255 4011 SH SOLE 4011 0 0 AMGEN INC COM 031162100 569 13655 SH SOLE 11209 0 2446 ANHEUSER BUSCH COS IN COM 035229103 1594 31500 SH SOLE 20850 0 10650 AOL TIME WARNER COM 00184A105 310 26464 SH SOLE 26164 0 300 APACHE CORP COM 037411105 393 6604 SH SOLE 5067 0 1537 APPLIED MATLS INC COM 038222105 143 12360 SH SOLE 12360 0 0 AUTOMATIC DATA PROCES COM 053015103 2364 68003 SH SOLE 57684 0 10319 BANK AMERICA CORP COM 060505104 443 6946 SH SOLE 6458 0 488 BANK ONE CORP COM 06423A103 470 12569 SH SOLE 9764 0 2805 BOEING CO COM 097023105 315 9217 SH SOLE 8594 0 623 BRISTOL MYERS SQUIBB COM 110122108 725 30465 SH SOLE 29165 0 1300 CALPINE CORP COM COM 131347106 79 32034 SH SOLE 32034 0 0 CARDINAL HEALTH INC COM 14149Y108 915 14712 SH SOLE 12669 0 2043 CENDANT CORPORATION COM 151313103 252 23439 SH SOLE 23039 0 400 CERES GROUP INC COM COM 156772105 26 13700 SH SOLE 13700 0 0 CHEVRONTEXACO CORPORA COM 166764100 1917 27677 SH SOLE 22952 0 4725 CISCO SYS INC COM 17275R102 3413 325696 SH SOLE 280791 0 44905 CITIGROUP INC. COM 172967101 2646 89226 SH SOLE 77506 0 11720 CITRIX SYS INC COM COM 177376100 114 18874 SH SOLE 18874 0 0 CLEAR CHANNEL COMMUNI COM 184502102 344 9898 SH SOLE 8072 0 1826 COCA COLA CO COM 191216100 666 13884 SH SOLE 11345 0 2539 COMMNICTN INTLGNC CP COM 20338K106 2 10000 SH SOLE 10000 0 0 D & K HEALTHCARE RES COM 232861104 322 36000 SH SOLE 28000 0 8000 DEAN FOODS INC NEW CO COM 242370104 210 5280 SH SOLE 5280 0 0 DU PONT E I DE NEMOUR COM 263534109 322 8938 SH SOLE 8183 0 755 E M C CORP MASS COM COM 268648102 62 13575 SH SOLE 13375 0 200 EBAY INC COM COM 278642103 384 7267 SH SOLE 5407 0 1860 EMERSON ELEC CO COM 291011104 4147 94374 SH SOLE 80732 0 13642 ENBRIDGE ENERGY PARTN COM 29250R106 657 15000 SH SOLE 12500 0 2500 EQUITY OFFICE PPTYS T COM 294741103 255 9883 SH SOLE 9091 0 792 EXPRESS SCRIPTS INC COM 302182100 858 15730 SH SOLE 10930 0 4800 EXXON CORPORATION COM 30231G102 775 24286 SH SOLE 22220 0 2066 FED HOME LN MTG COM 313400301 2360 42217 SH SOLE 37020 0 5197 FEDERAL NAT MORTGAGE COM 313586109 1941 32594 SH SOLE 25780 0 6814 GENERAL ELEC CO COM 369604103 450 182782 SH SOLE 153458 0 29324 HEWLETT PACKARD CO COM 428236103 209 17894 SH SOLE 17346 0 548 HOME DEPOT INC COM 437076102 1928 73886 SH SOLE 65190 0 8696 HONEYWELL INTERNATION COM 438516106 586 27047 SH SOLE 24200 0 2847 HOUSEHOLD INTL CORP COM 441815107 218 7708 SH SOLE 5881 0 1827 I B M COM 459200101 2103 36066 SH SOLE 31699 0 4367 ING PRIME RATE TR SHR COM 44977W106 338 57297 SH SOLE 57297 0 0 INTEL CORP COM 458140100 704 50690 SH SOLE 47244 0 3446 ISHARES TR DJ US FINL COM 464287788 330 5115 SH SOLE 5015 0 100 ISHARES TR MSCI EAFE COM 464287465 224 2348 SH SOLE 2348 0 0 ISHARES TR S&P MDCP40 COM 464287507 305 3750 SH SOLE 3550 0 200 ISHARES TR S&P500/BAR COM 464287309 436 10385 SH SOLE 10185 0 200 ISHARES TR S&P500/BAR COM 464287408 219 5566 SH SOLE 5566 0 0 JOHNSON & JOHNSON COM 478160104 2940 54367 SH SOLE 40739 0 13628 KB HOME COM COM 48666K109 203 4157 SH SOLE 4157 0 0 KEYCORP COM 493267108 1078 43163 SH SOLE 37603 0 5560 KIMBERLY CLARK CORP COM 494368103 689 12162 SH SOLE 11272 0 890 KINDER MORGAN INC KAN COM 49455P101 345 9739 SH SOLE 7101 0 2638 KOHLS CORP COM 500255104 564 9280 SH SOLE 7172 0 2108 KRAFT FOODS INC CL A COM 50075N104 1364 37409 SH SOLE 32586 0 4823 LOWES CO COM 548661107 340 8210 SH SOLE 8210 0 0 MARCONI PLC ADR SPONS Frn 566306205 1 10000 SH SOLE 10000 0 0 MBNA CORP COM 55262L100 4341 236186 SH SOLE 207639 0 28547 MEDTRONIC INC COM 585055106 2865 68027 SH SOLE 59578 0 8449 MERCK & CO INC COM 589331107 4617 101003 SH SOLE 85788 0 15215 MICROSOFT CORP COM 594918104 1870 42755 SH SOLE 36693 0 6062 MURPHY OIL CORP COM 626717102 2226 27124 SH SOLE 23046 0 4078 NATIONAL CITY CORP COM 635405103 208 7282 SH SOLE 7282 0 0 NORTHERN TRUST CORP COM 665859104 1870 49583 SH SOLE 43282 0 6301 ORACLE SYS CORP COM 68389X105 132 16815 SH SOLE 16315 0 500 PEPSICO INC COM 713448108 2100 56840 SH SOLE 42651 0 14189 PFIZER INC COM 717081103 1428 49194 SH SOLE 43506 0 5688 PHILIP MORRIS COS INS COM 718154107 2014 51908 SH SOLE 41539 0 10369 PPL CORP COM COM 69351T106 939 28851 SH SOLE 25091 0 3760 PROCTER & GAMBLE COMP COM 742718109 314 3511 SH SOLE 3333 0 178 RESEARCH FRONTIERS IN COM 760911107 133 14795 SH SOLE 14795 0 0 RPM INC OHIO COM 749685103 298 21190 SH SOLE 18390 0 2800 SAFEWAY INC COM 786514208 1266 56749 SH SOLE 49610 0 7139 SBC COMMUNICATIONS, I COM 78387G103 343 17056 SH SOLE 13221 0 3835 SCUDDER MULTI-MARKET COM 81118Q101 171 23252 SH SOLE 23252 0 0 SELECT COMFORT CORP O COM 81616X103 92 15000 SH SOLE 15000 0 0 SIGMA ALDRICH CORP COM 826552101 2048 41567 SH SOLE 34067 0 7500 SONOCO PRODUCTS COM 835495102 753 35355 SH SOLE 26685 0 8670 SUN MICROSYSTEM INC COM 866810104 47 18246 SH SOLE 18246 0 0 SYMANTEC CORP COM COM 871503108 238 7080 SH SOLE 7080 0 0 TYSON FOODS INC CL A COM 902494103 142 12224 SH SOLE 12224 0 0 U S BANCORP COM 902973304 432 23258 SH SOLE 19034 0 4224 UNITED TECHNOLOGIES C COM 913017109 416 7357 SH SOLE 6876 0 481 VALSPAR CORP COM COM 920355104 848 22739 SH SOLE 15295 0 7444 VIACOM INC COM 925524308 648 15973 SH SOLE 13208 0 2765 WAL MART STORES INC COM 931142103 6395 129866 SH SOLE 110360 0 19506 WALT DISNEY COMPANY COM 254687106 166 10989 SH SOLE 10413 0 576 WELLPOINT HEALTH NTWR COM 94973H108 221 3017 SH SOLE 3017 0 0 WELLS FARGO NEW COM 949746101 219 4546 SH SOLE 3406 0 1140 WESCO INTL INC COM COM 95082P105 59 13800 SH SOLE 12200 0 1600 WYETH COM 983024100 711 22344 SH SOLE 17067 0 5277 ZIMMER HLDGS INC COM COM 98956P102 288 7518 SH SOLE 7468 0 50 Line Count: 101 Value Total: $100,389,315
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