-----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, Ne/NAGae+Y5KPjMGfEzObAhk8LiGcmnXZYXYXqlF73EpeIsWTK6RuWli5q3Jike7 3d6bFFUorzNcTklX8L/4BQ== 0000948905-04-000002.txt : 20040212 0000948905-04-000002.hdr.sgml : 20040212 20040212121558 ACCESSION NUMBER: 0000948905-04-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031231 FILED AS OF DATE: 20040212 EFFECTIVENESS DATE: 20040212 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: 04589268 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 s13f4-03.txt TXT DOCUMENT 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, 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 February 12, 2004 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: 12/31/03 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 329 3870 SH SOLE 3614 0 256 ABBOTT LABS COM 002824100 2616 56128 SH SOLE 45778 0 10350 ACTIVISION INC NEW COM 004930202 443 24311 SH SOLE 23252 0 1059 ADVENT CLAYMORE CONV COM 00764C109 216 8200 SH SOLE 8200 0 0 AER ENERGY RES INC COM 000944108 0 43329 SH SOLE 43329 0 0 ALCOA INC COM COM 013817101 382 10059 SH SOLE 10059 0 0 ALLIED CAP CORP NEW COM 01903Q108 408 14618 SH SOLE 14618 0 0 ALLSTATE CORP COM 020002101 495 11502 SH SOLE 11402 0 100 ALTRIA GROUP INC COM COM 02209S103 5266 96770 SH SOLE 80843 0 15927 AMAZON COM INC COM COM 023135106 509 9680 SH SOLE 9680 0 0 AMERICAN EXPRESS CO COM 025816109 418 8675 SH SOLE 8192 0 483 AMERICAN INTL GROUP COM 026874107 2007 30280 SH SOLE 27374 0 2906 AMERICAN PWR CONV COM 029066107 1474 60150 SH SOLE 49700 0 10450 AMGEN INC COM 031162100 659 10658 SH SOLE 10508 0 150 ANHEUSER BUSCH COS COM 035229103 2881 54698 SH SOLE 48664 0 6034 AUTOMATIC DATA PROC COM 053015103 1656 41808 SH SOLE 36397 0 5411 AUTONATION COM 05329W102 377 20521 SH SOLE 19681 0 840 BANK AMERICA CORP COM 060505104 256 3179 SH SOLE 3005 0 174 BANK ONE CORP COM 06423A103 930 20397 SH SOLE 18716 0 1681 BELLSOUTH CORP COM COM 079860102 1417 50084 SH SOLE 44448 0 5636 BEST BUY INC COM COM 086516101 693 13274 SH SOLE 12974 0 300 BIOMET INC COM 090613100 268 7401 SH SOLE 7251 0 150 BMC SOFTWARE INC COM 055921100 411 22016 SH SOLE 21125 0 891 BORDERS GROUP INC COM 099709107 339 15453 SH SOLE 14742 0 711 BRANTLEY CAP CORP COM COM 105494108 308 30150 SH SOLE 30150 0 0 BRISTOL MYERS SQUIBB COM 110122108 1494 52247 SH SOLE 51197 0 1050 BURBERRY GROUP PLC FGN G1699R107 113 16839 SH SOLE 16839 0 0 CALPINE CORP COM COM 131347106 76 15768 SH SOLE 15768 0 0 CAPITAL ONE FINL CORP COM 14040H105 223 3646 SH SOLE 3646 0 0 CARDINAL HEALTH INC COM 14149Y108 295 4820 SH SOLE 4609 0 211 CAREER ED CORP COM COM 141665109 476 11816 SH SOLE 11816 0 0 CENDANT CORPORATION COM 151313103 616 27642 SH SOLE 26342 0 1300 CERES GROUP INC COM COM 156772105 222 37600 SH SOLE 37600 0 0 CHEVRONTEXACO CORP COM 166764100 1864 21573 SH SOLE 19270 0 2303 CHICOS FAS INC COM COM 168615102 640 17329 SH SOLE 17329 0 0 CISCO SYS INC COM 17275R102 5161 213000 SH SOLE 180977 0 32023 CITIGROUP INC. COM 172967101 2416 49764 SH SOLE 45109 0 4655 CLEAR CHANNEL COMM COM 184502102 346 7386 SH SOLE 7386 0 0 CLOROX CO COM 189054109 228 4700 SH SOLE 4700 0 0 COCA COLA CO COM 191216100 2330 45912 SH SOLE 40325 0 5587 COGNIZANT TECHNLGY COM 192446102 713 15615 SH SOLE 15615 0 0 COINSTAR INC COM COM 19259P300 388 21421 SH SOLE 20479 0 942 CONCORD EFS INC COM COM 206197105 509 34279 SH SOLE 32906 0 1373 CONVERGYS CORP COM COM 212485106 389 22252 SH SOLE 21325 0 927 CORPORATE HIGH YIELD COM 219925104 273 31063 SH SOLE 31063 0 0 COVENTRY HEALTH CARE COM 222862104 650 15116 SH SOLE 14675 0 441 CYTEC INDS INC COM COM 232820100 382 9949 SH SOLE 9487 0 462 CYTYC CORP COM COM 232946103 246 17745 SH SOLE 17745 0 0 D R HORTON INC COM COM 23331A109 210 7293 SH SOLE 7293 0 0 D & K HEALTHCARE RES COM 232861104 488 36000 SH SOLE 28000 0 8000 DOW CHEMICAL CORP COM 260543103 451 10855 SH SOLE 10855 0 0 DU PONT E I DE NEM COM 263534109 250 5450 SH SOLE 4814 0 636 DYNEX CAP INC COM NEW COM 26817Q506 381 62500 SH SOLE 62500 0 0 E M C CORP MASS COM COM 268648102 223 17275 SH SOLE 16875 0 400 ECOLAB INC COM 278865100 1502 54891 SH SOLE 48820 0 6071 EMERSON ELEC CO COM 291011104 6264 96749 SH SOLE 83281 0 13468 ENBRIDGE ENERGY PART COM 29250R106 749 15000 SH SOLE 12500 0 2500 ESS TECHNOLOGY INC COM 269151106 417 24509 SH SOLE 23481 0 1028 EXXON CORPORATION COM 30231G102 1736 42339 SH SOLE 38208 0 4131 FED HOME LN MTG COM 313400301 1282 21984 SH SOLE 19462 0 2522 FIRST DATA CORP COM 319963104 535 13030 SH SOLE 11430 0 1600 FLAHERTY & CRUMRINE COM 33848E106 180 12500 SH SOLE 12500 0 0 FLEXTRONICS INTL FGN Y2573F102 374 25267 SH SOLE 25267 0 0 FONIX CORP DEL COM COM 34459U306 5 12000 SH SOLE 12000 0 0 FORD MTR CO CAP TR PFD 345395206 358 6400 SH SOLE 6400 0 0 FPL GROUP INC COM COM 302571104 1472 22502 SH SOLE 19988 0 2514 FREDS INC CL A COM 356108100 515 16615 SH SOLE 16615 0 0 GABELLI UTIL TR COM COM 36240A101 221 23000 SH SOLE 23000 0 0 GANNETT INC DEL COM 364730101 1585 17778 SH SOLE 15808 0 1970 GENERAL ELEC CO COM 369604103 5405 174468 SH SOLE 152083 0 22385 GENERAL MTRS CORP COM 370442105 310 5798 SH SOLE 5289 0 509 HANOVER CAP MTG HLDGS COM 410761100 167 13500 SH SOLE 13500 0 0 HARLEY DAVIDSON INC COM 412822108 336 7061 SH SOLE 6789 0 272 HARTFORD FINL SVCS COM 416515104 206 3482 SH SOLE 3482 0 0 HEINZ, H J COMPANY COM 423074103 372 10204 SH SOLE 8554 0 1650 HEWLETT PACKARD CO COM 428236103 328 14278 SH SOLE 13742 0 536 HOME DEPOT INC COM 437076102 1988 56003 SH SOLE 50451 0 5552 HONEYWELL INTL, INC. COM 438516106 562 16810 SH SOLE 14423 0 2387 HUANENG PWR INTL INC FGN 443304100 275 3959 SH SOLE 3959 0 0 HUNT J B TRANS SVCS COM 445658107 481 17810 SH SOLE 17810 0 0 I B M COM 459200101 480 5182 SH SOLE 4929 0 253 INDYMAC MTG HLDGS INC COM 456607100 212 7102 SH SOLE 7102 0 0 ING PRIME RATE TR COM 44977W106 822 103650 SH SOLE 103650 0 0 INTEL CORP COM 458140100 1727 53891 SH SOLE 50240 0 3651 ISHARES INC MSCI COM 464286848 460 47766 SH SOLE 47766 0 0 ISHARES TR 1-3 YR TR COM 464287457 273 3307 SH SOLE 3307 0 0 ISHARES TR DJ US COM 464287838 313 6867 SH SOLE 6867 0 0 ISHARES TR DJ US CNS COM 464287812 247 5120 SH SOLE 5120 0 0 ISHARES TR DJ US CONS COM 464287580 516 9314 SH SOLE 9114 0 200 ISHARES TR DJ US FINL COM 464287788 779 8843 SH SOLE 8843 0 0 ISHARES TR DJ US COM 464287762 396 6950 SH SOLE 6950 0 0 ISHARES TR DJ US TECH COM 464287721 651 13416 SH SOLE 13316 0 100 ISHARES TR G S SEMI COM 464287523 216 3450 SH SOLE 3450 0 0 ISHARES TR G S SOFT COM 464287515 244 6471 SH SOLE 6471 0 0 ISHARES TR MSCI EAFE COM 464287465 876 6408 SH SOLE 6408 0 0 ISHARES TR NASDAQ BIO COM 464287556 326 4525 SH SOLE 4525 0 0 ISHARES TR RUSSELL COM 464287648 641 10816 SH SOLE 10816 0 0 ISHARES TR RUSSELL COM 464287630 483 3012 SH SOLE 3012 0 0 ISHARES TR RUSSELL COM 464287473 300 3217 SH SOLE 3217 0 0 ISHARES TR RUSSELL COM 464287481 516 7005 SH SOLE 7005 0 0 ISHARES TR S&P GLOBAL COM 464287572 722 12571 SH SOLE 12571 0 0 ISHARES TR S&P MDCP COM 464287507 702 6101 SH SOLE 6001 0 100 ISHARES TR S&P SMCP COM 464287804 526 3925 SH SOLE 3925 0 0 ISHARES TR S&P500 COM 464287309 1373 24696 SH SOLE 24496 0 200 ISHARES TR S&P500 COM 464287408 796 14379 SH SOLE 14379 0 0 ITT EDUCATIONAL SVCS COM 45068B109 457 9725 SH SOLE 9725 0 0 J.P. MORGAN CHASE COM 46625H100 468 12749 SH SOLE 12076 0 673 JOHNSON & JOHNSON COM 478160104 3844 74416 SH SOLE 60135 0 14281 KEANE INC COM 486665102 351 23965 SH SOLE 22895 0 1070 KEYCORP COM 493267108 1674 57091 SH SOLE 50196 0 6895 KIMBERLY CLARK CORP COM 494368103 1116 18883 SH SOLE 16444 0 2439 KNIGHT TRADING GROUP COM 499063105 431 29415 SH SOLE 28317 0 1098 LABORATORY CORP AMER COM 50540R409 222 6016 SH SOLE 6016 0 0 LEVEL 3 COMM COM 52729N100 128 22506 SH SOLE 19506 0 3000 LINEAR TECHNOLOGY COM 535678106 1950 46352 SH SOLE 41482 0 4870 LONGS DRUG STORES COM 543162101 365 14752 SH SOLE 14090 0 662 LOWES CO COM 548661107 286 5163 SH SOLE 5163 0 0 MANAGED HIGH YIELD COM 561911108 171 29760 SH SOLE 29760 0 0 MARSHALL & ILSLEY COM 571834100 1823 47653 SH SOLE 42403 0 5250 MBNA CORP COM 55262L100 2161 86949 SH SOLE 79353 0 7596 MCDONALDS CORP COM 580135101 1533 61732 SH SOLE 55227 0 6505 MEDCO HEALTH SOL COM 58405U102 259 7624 SH SOLE 6324 0 1300 MEDTRONIC INC COM 585055106 1979 40706 SH SOLE 36877 0 3829 MERCK & CO INC COM 589331107 4442 96152 SH SOLE 83164 0 12988 MERCURY INTERACTIVE COM 589405109 502 10326 SH SOLE 10326 0 0 MICROSOFT CORP COM 594918104 981 35847 SH SOLE 33401 0 2446 MORGAN STANLEY DEAN COM 617446448 443 7647 SH SOLE 7647 0 0 NASDAQ 100 TR COM 631100104 315 8636 SH SOLE 8636 0 0 NATIONAL CITY CORP COM 635405103 264 7782 SH SOLE 7782 0 0 NEXTEL COMMUNICATIONS COM 65332V103 580 20685 SH SOLE 20685 0 0 NUVEEN INSD TAX FREE 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 67072W309 1000 40 SH SOLE 40 0 0 NUVEEN QUALITY PFD PFD 67072C303 500 20 SH SOLE 20 0 0 OIL CO LUKOIL ADR FGN 677862104 270 2900 SH SOLE 2900 0 0 ORACLE SYS CORP COM 68389X105 245 18555 SH SOLE 18255 0 300 PACIFIC SUNWEAR CALIF COM 694873100 474 22465 SH SOLE 22465 0 0 PEPSICO INC COM 713448108 2894 62084 SH SOLE 46895 0 15189 PETROCHINA CO LTD FGN 71646E100 373 6546 SH SOLE 6546 0 0 PFIZER INC COM 717081103 1889 53467 SH SOLE 49362 0 4105 PIONEER HIGH INCOME COM 72369H106 209 12600 SH SOLE 12600 0 0 PROCTER & GAMBLE COM COM 742718109 355 3553 SH SOLE 3366 0 187 PSS WORLD MED INC COM COM 69366A100 360 29872 SH SOLE 28756 0 1116 PVF CAPITAL CORP COM COM 693654105 217 13475 SH SOLE 13475 0 0 QUALCOMM INC COM COM 747525103 416 7705 SH SOLE 7705 0 0 RELIANT RES INC COM COM 75952B105 140 18988 SH SOLE 18988 0 0 RESEARCH FRONTIERS COM 760911107 179 19245 SH SOLE 19245 0 0 RPM INC OHIO COM 749685103 653 39690 SH SOLE 34690 0 5000 SAPIENT CORP COM COM 803062108 427 75690 SH SOLE 72437 0 3253 SBC COMMUNICATIONS, COM 78387G103 588 22550 SH SOLE 18325 0 4225 SCHWAB CHARLES CORP COM 808513105 131 11035 SH SOLE 11035 0 0 SCIENTIFIC ATLANTA COM 808655104 411 15065 SH SOLE 15065 0 0 SCUDDER MULTI-MARKET COM 81118Q101 584 66660 SH SOLE 66660 0 0 SIGMA ALDRICH CORP COM 826552101 2428 42467 SH SOLE 34667 0 7800 SOMANETICS CORP COM COM 834445405 108 16000 SH SOLE 16000 0 0 SONOCO PRODUCTS COM 835495102 965 39215 SH SOLE 31017 0 8198 STERICYCLE INC COM COM 858912108 200 4285 SH SOLE 4285 0 0 SUN MICROSYSTEM INC COM 866810104 135 30300 SH SOLE 30300 0 0 TAIWAN SEMICONDUCTOR FGN 874039100 210 20539 SH SOLE 20539 0 0 TALX CORP COM COM 874918105 352 15271 SH SOLE 14622 0 649 TELEFONICA DE ESPANA FGN 879382208 313 7085 SH SOLE 7085 0 0 TELETECH HLDGS INC COM 879939106 352 31156 SH SOLE 29889 0 1267 THORNBURG MTG ASSET COM 885218107 330 12120 SH SOLE 12120 0 0 TIME WARNER INC COM 887317105 364 20250 SH SOLE 20250 0 0 TRANSACTION SYS COM 893416107 626 28120 SH SOLE 28120 0 0 TRC COS INC COM COM 872625108 261 12410 SH SOLE 12410 0 0 TYCO INTL LTD NEW COM 902124106 283 10690 SH SOLE 10690 0 0 U S BANCORP COM 902973304 212 7125 SH SOLE 6975 0 150 UNITED TECHNOLOGIES COM 913017109 416 4394 SH SOLE 4217 0 177 UNITEDHEALTH GROUP COM 91324P102 401 6888 SH SOLE 6628 0 260 UST INC COM 902911106 247 6926 SH SOLE 6926 0 0 V F CORP COM 918204108 347 8036 SH SOLE 7677 0 359 VALSPAR CORP COM COM 920355104 1323 26772 SH SOLE 19078 0 7694 VARIAN MED SYS INC COM 92220P105 392 5667 SH SOLE 5667 0 0 VIACOM INC COM 925524308 404 9112 SH SOLE 8612 0 500 VISHAY INTERTECH COM 928298108 224 9799 SH SOLE 9799 0 0 WAL MART STORES INC COM 931142103 6155 116029 SH SOLE 99111 0 16918 WALT DISNEY COMPANY COM 254687106 582 24934 SH SOLE 24455 0 479 WASHINGTON MUT INC COM 939322103 235 5869 SH SOLE 5869 0 0 WELLS FARGO NEW COM 949746101 246 4179 SH SOLE 3079 0 1100 WESCO INTL INC COM COM 95082P105 180 20300 SH SOLE 18700 0 1600 WYETH COM 983024100 1322 31148 SH SOLE 24846 0 6302 ZIMMER HLDGS INC COM COM 98956P102 595 8445 SH SOLE 8095 0 350 LINE COUNT: 185 TOTAL VALUE: $150,801,000
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