-----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, IBc54kFOJgot7tTE3exK7lzvuKXlm2EczfpqJ0gS5MGYFW1FHBVDskm5rarePuRW k5d6EMgMlKuVbGK1YlEztw== 0000948905-03-000004.txt : 20030127 0000948905-03-000004.hdr.sgml : 20030127 20030127101818 ACCESSION NUMBER: 0000948905-03-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030127 EFFECTIVENESS DATE: 20030127 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: 03525034 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 s13f4-02.txt 13F4-02 TEXT FILE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 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, Private Client Group & Chief Operating Officer Phone: (314) 342-2844 Signature, Place, and Date of Signing: Scott McCuaig St. Louis, Missouri January 27, 2003 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: 01/23/03 11:32 A.M. FORM 13F INFORMATION TABLE AS OF DATE: 12/31/02 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 300 2431 SH SOLE 2165 0 266 ABBOTT LABS COM 002824100 3609 90214 SH SOLE 76883 0 13331 ADC TELECOMMUNICATION COM 000886101 32 15375 SH SOLE 15375 0 0 AER ENERGY RES INC COM 000944108 0 43329 SH SOLE 43329 0 0 AMERICAN EXPRESS CO COM 025816109 362 10235 SH SOLE 9575 0 660 AMERICAN INTL GROUP INC COM 026874107 2473 42753 SH SOLE 38089 0 4664 AMERICAN PWR CONVERSION COM 029066107 982 64800 SH SOLE 54800 0 10000 AMERICAN STD COS INC COM 029712106 226 3175 SH SOLE 3175 0 0 AMGEN INC COM 031162100 265 5487 SH SOLE 5047 0 440 ANHEUSER BUSCH COS INC COM 035229103 3506 72446 SH SOLE 56634 0 15812 AOL TIME WARNER COM 00184A105 315 24028 SH SOLE 24028 0 0 APPLIED MATLS INC COM 038222105 136 10460 SH SOLE 10460 0 0 AUTOMATIC DATA COM 053015103 2425 61774 SH SOLE 53620 0 8154 BANK AMERICA CORP COM 060505104 390 5604 SH SOLE 5256 0 348 BANK ONE CORP COM 06423A103 366 10009 SH SOLE 9404 0 605 BELLSOUTH CORP COM COM 079860102 1875 72497 SH SOLE 64070 0 8427 BEST BUY INC COM COM 086516101 204 8463 SH SOLE 7840 0 623 BOEING CO COM 097023105 276 8371 SH SOLE 7748 0 623 BRISTOL MYERS SQUIBB COM 110122108 881 38040 SH SOLE 37440 0 600 CALPINE CORP COM COM 131347106 106 32487 SH SOLE 32487 0 0 CARDINAL HEALTH INC COM 14149Y108 540 9127 SH SOLE 8703 0 424 CENDANT CORPORATION COM 151313103 237 22579 SH SOLE 21279 0 1300 CERES GROUP INC COM COM 156772105 39 20400 SH SOLE 20400 0 0 CHEVRONTEXACO CORP COM 166764100 1680 25266 SH SOLE 21786 0 3480 CISCO SYS INC COM 17275R102 3063 233784 SH SOLE 199263 0 34521 CITIGROUP INC. COM 172967101 2481 70494 SH SOLE 62399 0 8095 COCA COLA CO COM 191216100 679 15481 SH SOLE 13217 0 2264 D R HORTON INC COM COM 23331A109 183 10572 SH SOLE 10572 0 0 D & K HEALTHCARE RES COM 232861104 369 36000 SH SOLE 28000 0 8000 DELL COMPUTER CORP COM 247025109 209 7805 SH SOLE 7805 0 0 DU PONT E I DE NEMOURS COM 263534109 303 7137 SH SOLE 6424 0 713 E M C CORP MASS COM COM 268648102 83 13575 SH SOLE 13275 0 300 ECOLAB INC COM 278865100 1966 39708 SH SOLE 35086 0 4622 EMERSON ELEC CO COM 291011104 5120 100681 SH SOLE 86272 0 14409 ENBRIDGE ENERGY COM 29250R106 632 15000 SH SOLE 12500 0 2500 EXXON CORPORATION COM 30231G102 1228 35151 SH SOLE 30767 0 4384 FED HOME LN MTG COM 313400301 1902 32205 SH SOLE 28481 0 3724 FEDERAL NAT MORTGAGE COM 313586109 2254 35039 SH SOLE 28150 0 6889 FLEMING COS INC COM 339130106 125 19056 SH SOLE 19056 0 0 FLEXTRONICS INTL LTD FGN Y2573F102 180 21929 SH SOLE 21929 0 0 FPL GROUP INC COM COM 302571104 1973 32811 SH SOLE 28996 0 3815 GANNETT INC DEL COM 364730101 1969 27422 SH SOLE 24304 0 3118 GENERAL ELEC CO COM 369604103 4458 183095 SH SOLE 157964 0 25131 HANOVER CAP MTG HLDGS COM 410761100 111 15700 SH SOLE 15700 0 0 HEWLETT PACKARD CO COM 428236103 224 12889 SH SOLE 12241 0 648 HOME DEPOT INC COM 437076102 1898 79000 SH SOLE 70360 0 8640 HONEYWELL INTERNATIONAL COM 438516106 495 20642 SH SOLE 17728 0 2914 I B M COM 459200101 421 5431 SH SOLE 4955 0 476 INDYMAC MTG HLDGS COM 456607100 218 11812 SH SOLE 11812 0 0 ING PRIME RATE TR COM 44977W106 384 62903 SH SOLE 6290 0 0 INTEL CORP COM 458140100 802 51487 SH SOLE 48034 0 3453 ISHARES TR DJ US COM 464287580 225 5365 SH SOLE 5165 0 200 ISHARES TR DJ US FINL COM 464287788 483 7075 SH SOLE 7075 0 0 ISHARES TR DJ US COM 464287762 222 4575 SH SOLE 4575 0 0 ISHARES TR DJ US TECH COM 464287721 307 9450 SH SOLE 9350 0 100 ISHARES TR MSCI EAFE COM 464287465 311 3146 SH SOLE 3146 0 0 ISHARES TR S&P GLOBAL COM 464287572 236 5319 SH SOLE 5319 0 0 ISHARES TR S&P MDCP400 COM 464287507 385 4475 SH SOLE 4375 0 100 ISHARES TR S&P SMCP600 COM 464287804 234 2400 SH SOLE 2400 0 0 ISHARES TR S&P500/ COM 464287309 604 13445 SH SOLE 13245 0 200 ISHARES TR S&P500/ COM 464287408 29 6788 SH SOLE 6788 0 0 J.P. MORGAN CHASE & CO COM 46625H100 236 9849 SH SOLE 9037 0 812 JOHNSON & JOHNSON COM 478160104 2671 49732 SH SOLE 38404 0 11328 KEYCORP COM 493267108 1089 43313 SH SOLE 37753 0 5560 KIMBERLY CLARK CORP COM 494368103 679 14297 SH SOLE 13207 0 1090 KRAFT FOODS INC CL A COM 50075N104 1622 41665 SH SOLE 36859 0 4806 LINEAR TECHNOLOGY COM 535678106 1737 67538 SH SOLE 59876 0 7662 LOWES CO COM 548661107 312 8310 SH SOLE 8310 0 0 MARSHALL & ILSLEY CORP COM 571834100 1897 69266 SH SOLE 61245 0 8021 MBNA CORP COM 55262L100 2394 125863 SH SOLE 114526 0 11337 MEDTRONIC INC COM 585055106 2290 50225 SH SOLE 44508 0 5717 MERCK & CO INC COM 589331107 6066 107153 SH SOLE 90999 0 16154 MICROSOFT CORP COM 594918104 1966 38022 SH SOLE 33784 0 4238 MOHAWK INDS INC COM COM 608190104 242 4249 SH SOLE 4249 0 0 MOTOROLA INC COM 620076109 1513 174907 SH SOLE 154767 0 20140 ORACLE SYS CORP COM 68389X105 142 13115 SH SOLE 12815 0 300 PEPSICO INC COM 713448108 2391 56640 SH SOLE 42451 0 14189 PFIZER INC COM 717081103 1572 51436 SH SOLE 45928 0 5508 PHILIP MORRIS COS INS COM 718154107 2315 57113 SH SOLE 45722 0 11391 PROCTER & GAMBLE CO COM 742718109 379 4412 SH SOLE 4174 0 238 PVF CAPITAL CORP COM COM 693654105 149 11850 SH SOLE 11850 0 0 RESEARCH FRONTIERS INC COM 760911107 123 14795 SH SOLE 14795 0 0 RPM INC OHIO COM 749685103 496 32490 SH SOLE 27490 0 5000 SBC COMMUNICATIONS, COM 78387G103 658 24260 SH SOLE 19892 0 4368 SCUDDER MULTI-MARKET COM 81118Q101 233 31492 SH SOLE 31492 0 0 SELECT COMFORT CORP COM 81616X103 141 15000 SH SOLE 15000 0 0 SIGMA ALDRICH CORP COM 826552101 2097 43067 SH SOLE 35267 0 7800 SMUCKER J M CO COM COM 832696405 221 5557 SH SOLE 5557 0 0 SONOCO PRODUCTS COM 835495102 811 35355 SH SOLE 26685 0 8670 SUN MICROSYSTEM INC COM 866810104 52 16600 SH SOLE 1660 0 0 SYBASE INC COM 871130100 137 10214 SH SOLE 10214 0 0 SYMANTEC CORP COM COM 871503108 293 7242 SH SOLE 6692 0 550 TAIWAN SEMICONDUCTOR FGN 874039100 82 11613 SH SOLE 11613 0 0 TYSON FOODS INC CL A COM 902494103 184 16364 SH SOLE 16364 0 0 UNITED TECHNOLOGIES COM 913017109 331 5337 SH SOLE 4964 0 373 VALSPAR CORP COM COM 920355104 1104 24989 SH SOLE 17095 0 7894 VIACOM INC COM 925524308 241 5924 SH SOLE 5424 0 500 WAL MART STORES INC COM 931142103 6425 127197 SH SOLE 109214 0 17983 WELLPOINT HEALTH NTWRKS COM 94973H108 253 3556 SH SOLE 3274 0 282 WELLS FARGO NEW COM 949746101 243 5178 SH SOLE 3888 0 1290 WESCO INTL INC COM COM 95082P105 76 13800 SH SOLE 12200 0 1600 WYETH COM 983024100 1003 26819 SH SOLE 20717 0 6102 ZIMMER HLDGS INC COM COM 98956P102 365 8798 SH SOLE 8448 0 350 LINE COUNT: 103 TOTOL VALUE: 105,485
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