-----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, RbuD2Vrd5jG/NeXdqHqKU69fI1MGMBlZP9w/F8zf8XZVX8pluM3TxV8coo9rnNHz W807PlChZfGnTB84JMPifA== 0000948905-03-000007.txt : 20030505 0000948905-03-000007.hdr.sgml : 20030505 20030505154434 ACCESSION NUMBER: 0000948905-03-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030331 FILED AS OF DATE: 20030505 EFFECTIVENESS DATE: 20030505 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: 03682182 BUSINESS ADDRESS: STREET 1: 501 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 s13f1-03.txt 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: March 31, 2003 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 May 5, 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: 05/05/03 10:33 A.M. FORM 13F INFORMATION TABLE AS OF DATE: 3/31/03 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 318 2444 SH SOLE 2178 0 266 ABBOTT LABS COM 002824100 2191 58251 SH SOLE 48135 0 10116 ABITIBI-CONSOLIDATED COM 003924107 70 10050 SH SOLE 10050 0 0 ADC TELECOMMUNICATION COM 000886101 32 15375 SH SOLE 15375 0 0 AER ENERGY RES INC COM 000944108 0 43329 SH SOLE 43329 0 0 ALTRIA GROUP INC COM COM 02209S103 2022 67500 SH SOLE 55109 0 12391 AMERICAN EXPRESS CO COM 025816109 309 9313 SH SOLE 8653 0 660 AMERICAN INTL GROUP COM 026874107 1970 39831 SH SOLE 35392 0 4439 AMERICAN PWR CONV COM 029066107 926 65000 SH SOLE 55000 0 10000 AMGEN INC COM 031162100 364 6329 SH SOLE 5889 0 440 ANHEUSER BUSCH COS COM 035229103 3822 81998 SH SOLE 65051 0 16947 AOL TIME WARNER COM 00184A105 243 22395 SH SOLE 22395 0 0 AUTOMATIC DATA PROC COM 053015103 1783 57900 SH SOLE 50059 0 7841 AUTOZONE INC COM 053332102 244 3554 SH SOLE 3450 0 104 BANK AMERICA CORP COM 060505104 347 5190 SH SOLE 4842 0 348 BANK ONE CORP COM 06423A103 637 18413 SH SOLE 16732 0 1681 BELLSOUTH CORP COM COM 079860102 1460 67379 SH SOLE 59332 0 8047 BRISTOL MYERS SQUIBB COM 110122108 1040 49240 SH SOLE 48640 0 600 CALPINE CORP COM COM 131347106 97 29249 SH SOLE 29249 0 0 CARDINAL HEALTH INC COM 14149Y108 346 6069 SH SOLE 5744 0 325 CENDANT CORPORATION COM 151313103 271 21332 SH SOLE 20032 0 1300 CERES GROUP INC COM COM 156772105 33 19800 SH SOLE 19800 0 0 CHEVRONTEXACO CORP COM 166764100 1559 24121 SH SOLE 20740 0 3381 CISCO SYS INC COM 17275R102 3179 244899 SH SOLE 210210 0 34689 CITIGROUP INC. COM 172967101 2257 65520 SH SOLE 57780 0 7740 CITRIX SYS INC COM COM 177376100 196 14870 SH SOLE 14242 0 628 COCA COLA CO COM 191216100 2343 57886 SH SOLE 51086 0 6800 D & K HEALTHCARE RES COM 232861104 368 36000 SH SOLE 28000 0 8000 DU PONT E I DE NEMOURS COM 263534109 282 7267 SH SOLE 6554 0 713 E M C CORP MASS COM COM 268648102 102 14075 SH SOLE 13775 0 300 ECOLAB INC COM 278865100 1813 36747 SH SOLE 32342 0 4405 EMERSON ELEC CO COM 291011104 4878 107555 SH SOLE 92485 0 15070 ENBRIDGE ENERGY PART COM 29250R106 686 15000 SH SOLE 12500 0 2500 EXXON CORPORATION COM 30231G102 1471 42101 SH SOLE 37778 0 4323 FED HOME LN MTG COM 313400301 1586 29873 SH SOLE 26319 0 3554 FEDERAL NAT MORTGAGE COM 313586109 987 15100 SH SOLE 11800 0 3300 FLEMING COS INC COM 339130106 8 16194 SH SOLE 16194 0 0 FLEXTRONICS INTL FGN Y2573F102 191 21922 SH SOLE 21922 0 0 FPL GROUP INC COM COM 302571104 1791 30395 SH SOLE 26756 0 3639 GANNETT INC DEL COM 364730101 1802 25591 SH SOLE 22607 0 2984 GENERAL ELEC CO COM 369604103 4915 192734 SH SOLE 167466 0 25268 HANOVER CAP MTG HLDGS COM 410761100 145 18900 SH SOLE 18900 0 0 HEWLETT PACKARD CO COM 428236103 182 11707 SH SOLE 11159 0 548 HOME DEPOT INC COM 437076102 1788 73411 SH SOLE 65128 0 8283 HONEYWELL INTL COM 438516106 555 26006 SH SOLE 23008 0 2998 I B M COM 459200101 409 5213 SH SOLE 4737 0 476 ING PRIME RATE TR SHRS COM 44977W106 528 78914 SH SOLE 78914 0 0 INTEL CORP COM 458140100 939 57683 SH SOLE 54230 0 3453 ISHARES TR DJ US CONS COM 464287580 230 5575 SH SOLE 5375 0 200 ISHARES TR DJ US FINL COM 464287788 509 7848 SH SOLE 7848 0 0 ISHARES TR DJ US HLTH COM 464287762 267 5433 SH SOLE 5433 0 0 ISHARES TR DJ US TECH COM 464287721 358 11025 SH SOLE 10925 0 100 ISHARES TR MSCI EAFE COM 464287465 348 3843 SH SOLE 3843 0 0 ISHARES TR RUSSELL COM 464287648 263 6882 SH SOLE 6882 0 0 ISHARES TR S&P GLOBAL COM 464287572 277 6598 SH SOLE 6598 0 0 ISHARES TR S&P MDCP400 COM 464287507 410 5000 SH SOLE 4900 0 100 ISHARES TR S&P SMCP600 COM 464287804 265 2895 SH SOLE 2895 0 0 ISHARES TR S&P500 COM 464287309 709 16010 SH SOLE 15810 0 200 ISHARES TR S&P500 COM 464287408 356 8838 SH SOLE 8838 0 0 ITT EDUCATIONAL SVCS COM 45068B109 261 9313 SH SOLE 8838 0 475 J.P. MORGAN CHASE & CO COM 46625H100 280 11788 SH SOLE 10973 0 815 JOHNSON & JOHNSON COM 478160104 4844 83712 SH SOLE 68103 0 15609 KEYCORP COM 493267108 1291 57246 SH SOLE 50351 0 6895 KIMBERLY CLARK CORP COM 494368103 800 17593 SH SOLE 15703 0 1890 KRAFT FOODS INC CL A COM 50075N104 1116 39591 SH SOLE 34957 0 4634 LEVEL 3 COMMUNICATIONS COM 52729N100 72 14000 SH SOLE 11000 0 3000 LEXMARK INTL GROUP INC COM 529771107 200 2985 SH SOLE 2985 0 0 LINEAR TECHNOLOGY CORP COM 535678106 1938 62789 SH SOLE 55456 0 7333 LOWES CO COM 548661107 290 7110 SH SOLE 7110 0 0 MARSHALL & ILSLEY CORP COM 571834100 1642 64233 SH SOLE 56582 0 7651 MBNA CORP COM 55262L100 1630 108321 SH SOLE 97439 0 10882 MEDTRONIC INC COM 585055106 2156 47789 SH SOLE 42298 0 5491 MERCK & CO INC COM 589331107 6094 111243 SH SOLE 95060 0 16183 MICROSOFT CORP COM 594918104 1778 73457 SH SOLE 65135 0 8322 MID ATLANTIC MED SVCS COM 59523C107 228 5627 SH SOLE 5268 0 359 NOKIA CORP FGN 654902204 222 15813 SH SOLE 15688 0 125 NUVEEN QUALITY PFD PFD 67072W309 1000 40 SH SOLE 40 0 0 NUVEEN QUALITY PFD PFD 67072C303 500 20 SH SOLE 20 0 0 ORACLE SYS CORP COM 68389X105 181 16715 SH SOLE 16415 0 300 PEPSICO INC COM 713448108 2553 63832 SH SOLE 48643 0 15189 PFIZER INC COM 717081103 1788 57390 SH SOLE 51828 0 5562 PROCTER & GAMBLE COMP COM 742718109 347 3900 SH SOLE 3662 0 238 PVF CAPITAL CORP COM COM 693654105 160 12150 SH SOLE 12150 0 0 RESEARCH FRONTIERS INC COM 760911107 128 17795 SH SOLE 17795 0 0 RPM INC OHIO COM 749685103 406 38690 SH SOLE 33690 0 5000 SBC COMMUNICATIONS, COM 78387G103 502 25000 SH SOLE 20632 0 4368 SCUDDER MULTI-MARKET COM 81118Q101 395 48537 SH SOLE 48537 0 0 SELECT COMFORT CORP COM 81616X103 151 15000 SH SOLE 15000 0 0 SIGMA ALDRICH CORP COM 826552101 1969 44267 SH SOLE 36467 0 7800 SMUCKER J M CO COM COM 832696405 208 5953 SH SOLE 5953 0 0 SONOCO PRODUCTS COM 835495102 983 46949 SH SOLE 36251 0 10698 SUN MICROSYSTEM INC COM 866810104 50 15300 SH SOLE 15300 0 0 SYMANTEC CORP COM COM 871503108 248 6342 SH SOLE 5792 0 550 TAIWAN SEMICONDUCTOR FGN 874039100 108 15808 SH SOLE 15808 0 0 TEVA PHARMACEUTICAL COM 881624209 226 5438 SH SOLE 5176 0 262 UNITED TECHNOLOGIES COM 913017109 244 4220 SH SOLE 3847 0 373 UNITEDHEALTH GROUP INC COM 91324P102 202 2209 SH SOLE 2098 0 111 VALSPAR CORP COM COM 920355104 1129 27572 SH SOLE 19878 0 7694 VERITY INC COM COM 92343C106 160 11532 SH SOLE 10966 0 566 VIACOM INC COM 925524308 232 6362 SH SOLE 5862 0 500 WAL MART STORES INC COM 931142103 6798 130663 SH SOLE 112301 0 18362 WALT DISNEY COMPANY COM 254687106 186 10899 SH SOLE 10323 0 576 WEBMD CORP COM COM 94769M105 134 14861 SH SOLE 13765 0 1096 WELLPOINT HEALTH COM 94973H108 229 2986 SH SOLE 2704 0 282 WELLS FARGO NEW COM 949746101 221 4917 SH SOLE 3677 0 1240 WESCO INTL INC COM COM 95082P105 55 15800 SH SOLE 14200 0 1600 WYETH COM 983024100 1211 32029 SH SOLE 25727 0 6302 ZIMMER HLDGS INC COM COM 98956P102 462 9496 SH SOLE 9146 0 350 LINE COUNT: 110 TOTAL VALUE: $105,485,000
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