-----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, IPACvg9exfkkSF8WXw6tr0Y16CTuAkbhjsZA7s+1dNgwQlpewbhH1VRNUJMqG7Cc YWY32UIydn6dUSXGO90J/A== 0000948905-03-000011.txt : 20031112 0000948905-03-000011.hdr.sgml : 20031111 20031112125012 ACCESSION NUMBER: 0000948905-03-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030930 FILED AS OF DATE: 20031112 EFFECTIVENESS DATE: 20031112 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: 03992450 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 s13f3-03.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: September 30, 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 November 11, 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: 10/31/03 3:080 P.M. FORM 13F INFORMATION TABLE AS OF DATE: 9/30/03 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 306 4432 SH SOLE 3900 0 532 ABBOTT LABS COM 002824100 2392 56213 SH SOLE 46097 0 10116 ACTIVISION INC NEW COM 004930202 241 20125 SH SOLE 19066 0 1059 AER ENERGY RES INC COM 000944108 0 43329 SH SOLE 43329 0 0 ALCOA INC COM COM 013817101 305 11658 SH SOLE 11165 0 493 ALLIED CAP CORP NEW COM 01903Q108 256 10409 SH SOLE 10409 0 0 ALLSTATE CORP COM 020002101 416 11381 SH SOLE 11001 0 380 ALTRIA GROUP INC COM COM 02209S103 4416 100829 SH SOLE 84384 0 16445 AMAZON COM INC COM COM 023135106 447 9240 SH SOLE 9240 0 0 AMDOCS LTD ORD FRN G02602103 250 13323 SH SOLE 12500 0 823 AMERICAN EXPRESS CO COM 025816109 419 9305 SH SOLE 8645 0 660 AMERICAN INTL GROUP COM 026874107 1969 34121 SH SOLE 30600 0 3521 AMERICAN PWR CONV COM 029066107 1067 61650 SH SOLE 51000 0 10650 AMGEN INC COM 031162100 474 7346 SH SOLE 7126 0 220 ANCHOR BANCORP WIS COM 032839102 219 9327 SH SOLE 9327 0 0 ANHEUSER BUSCH COS COM 035229103 3592 72800 SH SOLE 57609 0 15191 AOL TIME WARNER COM 00184A105 213 14125 SH SOLE 14125 0 0 AUTOMATIC DATA PROC COM 053015103 1748 48768 SH SOLE 42393 0 6375 AUTONATION COM 05329W102 297 16936 SH SOLE 16096 0 840 BANK AMERICA CORP COM 060505104 321 4114 SH SOLE 3766 0 348 BANK ONE CORP COM 06423A103 784 20297 SH SOLE 18616 0 1681 BELLSOUTH CORP COM COM 079860102 1320 55761 SH SOLE 49338 0 6423 BEST BUY INC COM COM 086516101 641 13483 SH SOLE 12860 0 623 BIOVAIL CORP F COM 09067J109 224 6035 SH SOLE 5835 0 200 BRANTLEY CAP CORP COM COM 105494108 270 30150 SH SOLE 30150 0 0 BRISTOL MYERS SQUIBB COM 110122108 1314 51193 SH SOLE 50593 0 600 CALPINE CORP COM COM 131347106 75 15268 SH SOLE 15268 0 0 CAPITAL ONE FINL CORP COM 14040H105 204 3579 SH SOLE 3579 0 0 CARDINAL HEALTH INC COM 14149Y108 299 5115 SH SOLE 4790 0 325 CAREER ED CORP COM COM 141665109 570 12584 SH SOLE 12584 0 0 CENDANT CORPORATION COM 151313103 331 17725 SH SOLE 16425 0 1300 CERES GROUP INC COM COM 156772105 92 23100 SH SOLE 23100 0 0 CHEVRONTEXACO CORP COM 166764100 1474 20624 SH SOLE 18076 0 2548 CISCO SYS INC COM 17275R102 4418 225546 SH SOLE 192957 0 32589 CITIGROUP INC. COM 172967101 2319 50949 SH SOLE 45823 0 5126 CLEAR CHANNEL COMM COM 184502102 217 5670 SH SOLE 5670 0 0 COCA COLA CO COM 191216100 2124 49447 SH SOLE 43557 0 5890 CORINTHIAN COLLEGES COM 218868107 227 3974 SH SOLE 3974 0 0 CORPORATE HIGH YIELD COM 219925104 196 23737 SH SOLE 23737 0 0 COVENTRY HEALTH CARE COM 222862104 477 9038 SH SOLE 8744 0 294 CYTEC INDS INC COM COM 232820100 291 7965 SH SOLE 7503 0 462 CYTYC CORP COM COM 232946103 266 17745 SH SOLE 17745 0 0 D & K HEALTHCARE RES COM 232861104 506 36000 SH SOLE 28000 0 8000 DOW CHEMICAL CORP COM 260543103 225 6921 SH SOLE 6921 0 0 DU PONT E I DE COM 263534109 218 5460 SH SOLE 4747 0 713 E M C CORP MASS COM COM 268648102 208 16465 SH SOLE 16065 0 400 ECOLAB INC COM 278865100 1546 61225 SH SOLE 54292 0 6933 ELECTRONICS BOUTIQUE COM 286045109 286 10004 SH SOLE 9441 0 563 EMERSON ELEC CO COM 291011104 5199 98752 SH SOLE 84774 0 13978 ENBRIDGE ENERGY PART COM 29250R106 732 15000 SH SOLE 12500 0 2500 EXXON CORPORATION COM 30231G102 1468 40111 SH SOLE 35782 0 4329 FED HOME LN MTG COM 313400301 1284 24522 SH SOLE 21661 0 2861 FLEXTRONICS INTL LTD FRN Y2573F102 358 25171 SH SOLE 25171 0 0 FORD MTR CO CAP TR PFD 345395206 273 6300 SH SOLE 6300 0 0 FPL GROUP INC COM COM 302571104 1588 25129 SH SOLE 22258 0 2871 GANNETT INC DEL COM 364730101 1537 19817 SH SOLE 17570 0 2247 GENENTECH INC COM NEW COM 368710406 303 3779 SH SOLE 3586 0 193 GENERAL ELEC CO COM 369604103 5371 180166 SH SOLE 156857 0 23309 GENERAL MTRS CORP COM 370442105 209 5099 SH SOLE 4613 0 486 GENESCO INC COM COM 371532102 243 15148 SH SOLE 14323 0 825 GROUP 1 AUTOMOTIVE COM 398905109 243 7044 SH SOLE 6668 0 376 HANOVER CAP MTG HLDGS COM 410761100 142 13500 SH SOLE 13500 0 0 HARLEY DAVIDSON INC COM 412822108 282 5841 SH SOLE 5519 0 322 HEINZ, H J COMPANY COM 423074103 309 9000 SH SOLE 7350 0 1650 HOME DEPOT INC COM 437076102 1926 60463 SH SOLE 53894 0 6569 HONEYWELL INTL COM 438516106 602 22859 SH SOLE 19945 0 2914 HUNT J B TRANS SVCS COM 445658107 440 16790 SH SOLE 16790 0 0 I B M COM 459200101 416 4711 SH SOLE 4385 0 326 ING PRIME RATE TR COM 44977W106 694 96605 SH SOLE 96605 0 0 INTEL CORP COM 458140100 1682 61102 SH SOLE 57386 0 3716 ISHARES TR 1-3 YR TR COM 464287457 1738 21007 SH SOLE 21007 0 0 ISHARES TR DJ US COM 464287838 239 6423 SH SOLE 6423 0 0 ISHARES TR DJ US CONS COM 464287580 376 7532 SH SOLE 7332 0 200 ISHARES TR DJ US FINL COM 464287788 668 8397 SH SOLE 8397 0 0 ISHARES TR DJ US HLTH COM 464287762 369 6983 SH SOLE 6983 0 0 ISHARES TR DJ US TECH COM 464287721 542 12566 SH SOLE 12466 0 100 ISHARES TR MSCI EAFE COM 464287465 749 6398 SH SOLE 6398 0 0 ISHARES TR NASDAQ COM 464287556 296 4125 SH SOLE 4125 0 0 ISHARES TR RUSSELL COM 464287648 592 11256 SH SOLE 11256 0 0 ISHARES TR RUSSELL COM 464287630 393 2839 SH SOLE 2839 0 0 ISHARES TR RUSSELL COM 464287473 243 2987 SH SOLE 2987 0 0 ISHARES TR RUSSELL COM 464287481 429 6509 SH SOLE 6509 0 0 ISHARES TR S&P GLOBAL COM 464287572 624 12255 SH SOLE 12255 0 0 ISHARES TR S&P MD COM 464287507 592 5802 SH SOLE 5702 0 100 ISHARES TR S&P SMCP COM 464287804 449 3825 SH SOLE 3825 0 0 ISHARES TR S&P500 COM 464287309 1144 22476 SH SOLE 22276 0 200 ISHARES TR S&P500 COM 464287408 640 13143 SH SOLE 13143 0 0 ITT EDUCATIONAL SVCS COM 45068B109 440 9180 SH SOLE 9180 0 0 J.P. MORGAN CHASE COM 46625H100 490 14269 SH SOLE 13381 0 888 JOHNSON & JOHNSON COM 478160104 3776 76259 SH SOLE 61404 0 14855 KEANE INC COM 486665102 245 19162 SH SOLE 18092 0 1070 KEYCORP COM 493267108 1444 56491 SH SOLE 49596 0 6895 KIMBERLY CLARK CORP COM 494368103 807 15716 SH SOLE 13726 0 1990 LEVEL 3 COMM COM 52729N100 118 21806 SH SOLE 18806 0 3000 LINEAR TECHNOLOGY COM 535678106 1866 51946 SH SOLE 46202 0 5744 LOWES CO COM 548661107 395 7610 SH SOLE 7610 0 0 MANAGED HIGH YIELD COM 561911108 124 24795 SH SOLE 24795 0 0 MARSHALL & ILSLEY COM 571834100 1678 53237 SH SOLE 47238 0 5999 MBNA CORP COM 55262L100 2142 93959 SH SOLE 85404 0 8555 MCDONALDS CORP COM 580135101 1709 72603 SH SOLE 64595 0 8008 MEDCO HEALTH SOL COM 58405U102 203 7843 SH SOLE 6519 0 1324 MEDTRONIC INC COM 585055106 1911 40719 SH SOLE 36318 0 4401 MERCK & CO INC COM 589331107 5103 100812 SH SOLE 85554 0 15258 MICROSOFT CORP COM 594918104 900 32372 SH SOLE 29496 0 2876 MID ATLANTIC MED SVCS COM 59523C107 318 6180 SH SOLE 5858 0 322 MORGAN STANLEY DEAN COM 617446448 393 7790 SH SOLE 7790 0 0 NASDAQ 100 TR COM 631100104 270 8335 SH SOLE 8335 0 0 NATIONAL CITY CORP COM 635405103 200 6782 SH SOLE 6782 0 0 NEXTEL COMMUNICATIONS COM 65332V103 469 23785 SH SOLE 23785 0 0 NUVEEN INSD MA TAX PFD 67072F207 775 31 SH SOLE 31 0 0 NUVEEN MA PREM INC PFD 67061E203 225 9 SH SOLE 9 0 0 NUVEEN PFD & CONV PFD 67073D607 1000 40 SH SOLE 40 0 0 NUVEEN PREMIER MUN PFD 670988203 500 20 SH SOLE 20 0 0 NUVEEN QUALITY PFD PFD 67072W309 1000 40 SH SOLE 40 0 0 NUVEEN QUALITY PFD PFD 67072C303 500 20 SH SOLE 20 0 0 OIL CO LUKOIL ADR FRN 677862104 233 2855 SH SOLE 2855 0 0 ORACLE SYS CORP COM 68389X105 262 23270 SH SOLE 22970 0 300 OXFORD HEALTH PLANS COM 691471106 416 10074 SH SOLE 9733 0 341 PACIFIC SUNWEAR CALIF COM 694873100 440 21280 SH SOLE 21280 0 0 PEDIATRIX MED GROUP COM 705324101 285 6198 SH SOLE 5856 0 342 PEPSICO INC COM 713448108 2807 61245 SH SOLE 46056 0 15189 PFIZER INC COM 717081103 1564 51481 SH SOLE 46409 0 5072 PIONEER HIGH INCOME COM 72369H106 176 11500 SH SOLE 11500 0 0 PROCTER & GAMBLE COM 742718109 323 3475 SH SOLE 3237 0 238 PVF CAPITAL CORP COM COM 693654105 198 13475 SH SOLE 13475 0 0 QUALCOMM INC COM COM 747525103 265 6355 SH SOLE 6355 0 0 RESEARCH FRONTIERS COM 760911107 204 17745 SH SOLE 17745 0 0 REYNOLDS & REYNOLDS COM 761695105 261 9466 SH SOLE 8956 0 510 RPM INC OHIO COM 749685103 518 39690 SH SOLE 34690 0 5000 RYLAND GROUP INC COM COM 783764103 329 4503 SH SOLE 4269 0 234 SBC COMMUNICATIONS, COM 78387G103 497 22358 SH SOLE 18037 0 4321 SCHWAB CHARLES CORP COM 808513105 137 11503 SH SOLE 11503 0 0 SCIENTIFIC ATLANTA COM 808655104 440 14125 SH SOLE 14125 0 0 SCUDDER MULTI-MARKET COM 81118Q101 503 61443 SH SOLE 61443 0 0 SIGMA ALDRICH CORP COM 826552101 2215 42467 SH SOLE 34667 0 7800 SONOCO PRODUCTS COM 835495102 974 44374 SH SOLE 33676 0 10698 SUN MICROSYSTEM INC COM 866810104 101 30400 SH SOLE 30400 0 0 TAIWAN SEMICONDUCTOR FRN 874039100 218 20170 SH SOLE 20170 0 0 TEVA PHARMACEUTICAL COM 881624209 375 6562 SH SOLE 6311 0 251 TRANSACTION SYS ARCH COM 893416107 440 26555 SH SOLE 26555 0 0 TRC COS INC COM COM 872625108 204 12410 SH SOLE 12410 0 0 UNITED TECHNOLOGIES COM 913017109 244 3161 SH SOLE 2788 0 373 UNITEDHEALTH GROUP COM 91324P102 301 5984 SH SOLE 5724 0 260 UST INC COM 902911106 237 6740 SH SOLE 6740 0 0 V F CORP COM 918204108 248 6362 SH SOLE 6003 0 359 VALSPAR CORP COM COM 920355104 1249 26772 SH SOLE 19078 0 7694 VIACOM INC COM 925524308 232 6070 SH SOLE 5570 0 500 WAL MART STORES INC COM 931142103 6828 122259 SH SOLE 105432 0 16827 WALT DISNEY COMPANY COM 254687106 365 18078 SH SOLE 17502 0 576 WELLS FARGO NEW COM 949746101 235 4563 SH SOLE 3323 0 1240 WESCO INTL INC COM COM 95082P105 83 15800 SH SOLE 14200 0 1600 WYETH COM 983024100 1515 32857 SH SOLE 26555 0 6302 ZIMMER HLDGS INC COM COM 98956P102 567 10286 SH SOLE 9936 0 350 LINE COUNT: 153 TOTAL VALUE: $131,344,000
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