-----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, G8dbJcFfT9En6Z+N9YOkuh5OuHklVY+Q0c8rszwlCrtJkWyA4QMuNUcYP9LyS+y3 K6hP7QzbmlwpZlqmP29zBg== 0000948905-04-000004.txt : 20040430 0000948905-04-000004.hdr.sgml : 20040430 20040430111330 ACCESSION NUMBER: 0000948905-04-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040331 FILED AS OF DATE: 20040430 EFFECTIVENESS DATE: 20040430 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: 04768009 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 s13f1-04.txt 1ST QTR 2004 13F FILING - TEXT 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: March 31, 2004 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 April 30, 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: 04/28/04 2:40 P.M. FORM 13F INFORMATION TABLE AS OF DATE: 3/31/04 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 275 3360 SH SOLE 3104 0 256 ABBOTT LABS COM 002824100 2363 57484 SH SOLE 47268 0 10216 ACTIVISION INC NEW COM 004930202 576 36419 SH SOLE 35211 0 1208 ADVANCED NEURO SYSCO COM 00757T101 210 5828 SH SOLE 5828 0 0 ADVENT CLAYMORE CONV COM 00764C109 221 8200 SH SOLE 8200 0 0 AER ENERGY RES INC COM 000944108 0 43329 SH SOLE 43329 0 0 AETNA U S HEALTHCARE COM 00817Y108 210 2340 SH SOLE 2340 0 0 ALLIED CAP CORP NEW COM 01903Q108 431 14224 SH SOLE 14224 0 0 ALLSTATE CORP COM 020002101 531 11682 SH SOLE 11582 0 100 ALTRIA GROUP INC COM COM 02209S103 5085 93393 SH SOLE 78271 0 15122 AMERICAN EXPRESS CO COM 025816109 442 8520 SH SOLE 7737 0 783 AMERICAN INTL GROUP COM 026874107 2300 32235 SH SOLE 29883 0 2352 AMERICAN PWR CONV COM 029066107 1369 59550 SH SOLE 50300 0 9250 AMERITRADE HLDG CORP COM 03074K100 632 41045 SH SOLE 41045 0 0 AMGEN INC COM 031162100 503 8647 SH SOLE 8497 0 150 ANHEUSER BUSCH COS COM 035229103 2469 48412 SH SOLE 43954 0 4458 ARCHER DANIELS MID COM 039483102 375 22222 SH SOLE 21435 0 787 ARMOR HLDGS INC COM COM 042260109 356 10770 SH SOLE 10713 0 57 ARTHROCARE CORP COM COM 043136100 294 12652 SH SOLE 12652 0 0 ASSOCIATED BANC CORP COM 045487105 233 5192 SH SOLE 5192 0 0 AUTODESK INC COM 052769106 411 13031 SH SOLE 12538 0 493 AUTOMATIC DATA PROC COM 053015103 1652 39322 SH SOLE 35736 0 3586 AVERY DENNISON CORP COM 053611109 1468 23590 SH SOLE 21378 0 2212 BANK AMERICA CORP COM 060505104 274 3382 SH SOLE 3208 0 174 BANK ONE CORP COM 06423A103 981 17986 SH SOLE 16305 0 1681 BELLSOUTH CORP COM COM 079860102 1332 48116 SH SOLE 43614 0 4502 BIOMET INC COM 090613100 288 7501 SH SOLE 7351 0 150 BMC SOFTWARE INC COM 055921100 466 23830 SH SOLE 22939 0 891 BRANTLEY CAP CORP COM 105494108 359 30150 SH SOLE 30150 0 0 BRISTOL MYERS SQUIBB COM 110122108 1350 55702 SH SOLE 54052 0 1650 BURBERRY GROUP PLC FRN G1699R107 122 18139 SH SOLE 18139 0 0 CALPINE CORP COM COM 131347106 72 15368 SH SOLE 15368 0 0 CAPITAL ONE FINL CORP COM 14040H105 254 3368 SH SOLE 3368 0 0 CARDINAL HEALTH INC COM 14149Y108 397 5767 SH SOLE 5556 0 211 CENDANT CORPORATION COM 151313103 668 27399 SH SOLE 26499 0 900 CERES GROUP INC COM COM 156772105 200 28250 SH SOLE 28250 0 0 CHARMING SHOPPES INC COM 161133103 312 40108 SH SOLE 38454 0 1654 CHEVRONTEXACO CORP COM 166764100 1801 20522 SH SOLE 19070 0 1452 CHICOS FAS INC COM COM 168615102 272 5869 SH SOLE 5869 0 0 CISCO SYS INC COM 17275R102 4592 194824 SH SOLE 165351 0 29473 CITIGROUP INC. COM 172967101 2492 48201 SH SOLE 44341 0 3860 CITRIX SYS INC COM COM 177376100 430 19902 SH SOLE 19150 0 752 CLEAR CHANNEL COMM COM 184502102 545 12864 SH SOLE 12864 0 0 CLOROX CO COM 189054109 230 4700 SH SOLE 4700 0 0 COCA COLA CO COM 191216100 2503 49764 SH SOLE 44352 0 5412 COGNIZANT TECHNLGY COM 192446102 238 5253 SH SOLE 5253 0 0 COINSTAR INC COM COM 19259P300 380 24043 SH SOLE 23101 0 942 CONSTELLATION BRANDS COM 21036P108 287 8941 SH SOLE 8941 0 0 CORPORATE HIGH YIELD COM 219925104 328 36954 SH SOLE 36954 0 0 COVENTRY HEALTH CARE COM 222862104 213 5039 SH SOLE 5039 0 0 CVS CORP COM 126650100 287 8122 SH SOLE 8122 0 0 CYTYC CORP COM COM 232946103 296 3294 SH SOLE 13294 0 0 D R HORTON INC COM COM 23331A109 268 7560 SH SOLE 7560 0 0 D & K HEALTHCARE RES COM 232861104 369 36000 SH SOLE 28000 0 8000 DEVON ENERGY CORP NEW COM 25179M103 647 11128 SH SOLE 11128 0 0 DOW CHEMICAL CORP COM 260543103 570 14146 SH SOLE 14146 0 0 DVL INC COM COM 233347103 3 20000 SH SOLE 20000 0 0 DYNEX CAP INC COM NEW COM 26817Q506 547 84100 SH SOLE 84100 0 0 E TRADE GROUP INC COM COM 269246104 585 43855 SH SOLE 43855 0 0 EASTMAN KODAK COM 277461109 494 18885 SH SOLE 17638 0 1247 ECOLAB INC COM 278865100 1461 51207 SH SOLE 46391 0 4816 EMERSON ELEC CO COM 291011104 3943 65805 SH SOLE 55254 0 10551 ENBRIDGE ENERGY PART COM 29250R106 767 15000 SH SOLE 12500 0 2500 ENGINEERED SUPPORT COM 292866100 495 10150 SH SOLE 10150 0 0 ERESEARCHTECHNOLOGY COM 29481V108 597 21300 SH SOLE 21300 0 0 ESS TECHNOLOGY INC COM 269151106 392 26711 SH SOLE 25770 0 941 EXXON CORPORATION COM 30231G102 1842 44283 SH SOLE 39752 0 4531 FED HOME LN MTG COM 313400301 1258 21307 SH SOLE 19331 0 1976 FIRST DATA CORP COM 319963104 2283 54143 SH SOLE 49121 0 5022 FLAHERTY & CRUMRINE COM 33848E106 185 12500 SH SOLE 12500 0 0 FLEXTRONICS INTL LTD FRN Y2573F102 222 13000 SH SOLE 13000 0 0 FORTUNE BRANDS INC COM 349631101 248 3237 SH SOLE 3237 0 0 FPL GROUP INC COM COM 302571104 1413 21144 SH SOLE 19155 0 1989 GABELLI UTIL TR COM COM 36240A101 224 23000 SH SOLE 23000 0 0 GANNETT INC DEL COM 364730101 1461 16578 SH SOLE 15014 0 1564 GENERAL ELEC CO COM 369604103 4014 131517 SH SOLE 114465 0 17052 GENERAL MTRS CORP COM 370442105 209 4431 SH SOLE 3922 0 509 HANOVER CAP MTG HLDGS COM 410761100 210 13500 SH SOLE 13500 0 0 HARLEY DAVIDSON INC COM 412822108 427 8013 SH SOLE 7741 0 272 HARMAN INTL INDS INC COM 413086109 611 7680 SH SOLE 7680 0 0 HARTFORD FINL SVCS COM 416515104 218 3415 SH SOLE 3415 0 0 HEINZ, H J COMPANY COM 423074103 435 11672 SH SOLE 10122 0 1550 HEWLETT PACKARD CO COM 428236103 261 11435 SH SOLE 10899 0 536 HOME DEPOT INC COM 437076102 2074 55504 SH SOLE 51068 0 4436 HONEYWELL INTL, INC. COM 438516106 442 13067 SH SOLE 11185 0 1882 HUANENG PWR INTL INC FRN 443304100 296 3774 SH SOLE 3774 0 0 I B M COM 459200101 612 6669 SH SOLE 6416 0 253 INDYMAC MTG HLDGS INC COM 456607100 217 5980 SH SOLE 5980 0 0 ING PRIME RATE TR COM 44977W106 922 114788 SH SOLE 114788 0 0 INGRAM MICRO INC CL A COM 457153104 375 20742 SH SOLE 19994 0 748 INTEL CORP COM 458140100 1474 54196 SH SOLE 52345 0 1851 INVESTMENT TECHNOLOGY COM 46145F105 396 25855 SH SOLE 24896 0 959 ISHARES INC MSCI COM 464286848 527 48474 SH SOLE 48474 0 0 ISHARES TR 1-3 YR TR COM 464287457 274 3307 SH SOLE 3307 0 0 ISHARES TR 7-10 YR TR COM 464287440 372 4245 SH SOLE 4245 0 0 ISHARES TR DJ US COM 464287838 309 6953 SH SOLE 6953 0 0 ISHARES TR DJ US CNS COM 464287812 288 5666 SH SOLE 5666 0 0 ISHARES TR DJ US CONS COM 464287580 589 10334 SH SOLE 10134 0 200 ISHARES TR DJ US FINL COM 464287788 841 9078 SH SOLE 9078 0 0 ISHARES TR DJ US HLTH COM 464287762 418 7275 SH SOLE 7275 0 0 ISHARES TR DJ US TECH COM 464287721 629 13266 SH SOLE 13166 0 100 ISHARES TR G S SEMI COM 464287523 219 3550 SH SOLE 3550 0 0 ISHARES TR G S COM 464287515 280 7393 SH SOLE 7393 0 0 ISHARES TR MSCI EAFE COM 464287465 912 6440 SH SOLE 6440 0 0 ISHARES TR NASDAQ BIO COM 464287556 572 7399 SH SOLE 7399 0 0 ISHARES TR RUSSELL COM 464287648 692 11073 SH SOLE 11073 0 0 ISHARES TR RUSSELL COM 464287630 537 3135 SH SOLE 3135 0 0 ISHARES TR RUSSELL COM 464287473 318 3257 SH SOLE 3257 0 0 ISHARES TR RUSSELL COM 464287481 579 7494 SH SOLE 7494 0 0 ISHARES TR S&P GLOBAL COM 464287572 767 13268 SH SOLE 13268 0 0 ISHARES TR S&P MDCP COM 464287507 738 6101 SH SOLE 6001 0 100 ISHARES TR S&P COM 464287804 940 6602 SH SOLE 6602 0 0 ISHARES TR S&P500 COM 464287309 1452 26155 SH SOLE 25955 0 200 ISHARES TR S&P500 COM 464287408 889 15574 SH SOLE 15574 0 0 J.P. MORGAN CHASE COM 46625H100 600 14300 SH SOLE 13627 0 673 JOHNSON & JOHNSON COM 478160104 3870 76296 SH SOLE 62270 0 14026 KEYCORP COM 493267108 1729 57091 SH SOLE 50196 0 6895 KIMBERLY CLARK CORP COM 494368103 1207 19133 SH SOLE 16994 0 2139 K-SWISS INC CL A COM 482686102 534 21825 SH SOLE 21825 0 0 LABORATORY CORP AMER COM 50540R409 232 5917 SH SOLE 5917 0 0 LAUDER ESTEE COS INC COM 518439104 278 6275 SH SOLE 6275 0 0 LEVEL 3 COMM COM 52729N100 90 22506 SH SOLE 19506 0 3000 LIBERTY MEDIA CORP COM 530718105 123 11200 SH SOLE 11200 0 0 LIFEPOINT HOSPS INC COM 53219L109 495 15316 SH SOLE 14892 0 424 LINEAR TECHNOLOGY COM 535678106 1650 44493 SH SOLE 40724 0 3769 LOWES CO COM 548661107 271 4832 SH SOLE 4832 0 0 MANAGED HIGH YIELD COM 561911108 210 36382 SH SOLE 36382 0 0 MARSHALL & ILSLEY COM 571834100 1675 44308 SH SOLE 40203 0 4105 MARTEK BIOSCIENCES COM 572901106 485 8520 SH SOLE 8520 0 0 MBNA CORP COM 55262L100 2262 81869 SH SOLE 75841 0 6028 MCDONALDS CORP COM 580135101 1658 58037 SH SOLE 52875 0 5162 MEDTRONIC INC COM 585055106 1981 41497 SH SOLE 39015 0 2482 MERCK & CO INC COM 589331107 3052 69069 SH SOLE 58950 0 10119 MICROSOFT CORP COM 594918104 1098 44028 SH SOLE 41582 0 2446 MIDWAY GAMES INC COM COM 598148104 412 56600 SH SOLE 56600 0 0 MORGAN STANLEY DW COM 617446448 381 6649 SH SOLE 6649 0 0 NATIONAL CITY CORP COM 635405103 277 7782 SH SOLE 7782 0 0 NEW YORK CMNTY BAN COM 649445103 262 7648 SH SOLE 7648 0 0 NEXTEL COMMS INC CL A COM 65332V103 369 14969 SH SOLE 12069 0 2900 NORFOLK SOUTHN CORP COM 655844108 369 16719 SH SOLE 16088 0 631 NOVELL INC COM 670006105 603 52985 SH SOLE 52985 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 MO PREM INC PFD 67060Q207 500 20 SH SOLE 20 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 OIL CO LUKOIL ADR FRN 677862104 347 2795 SH SOLE 2795 0 0 OMNICARE INC COM 681904108 248 5587 SH SOLE 5587 0 0 ORACLE SYS CORP COM 68389X105 193 16095 SH SOLE 15795 0 300 PARKER HANNIFIN CORP COM 701094104 1419 25108 SH SOLE 22727 0 2381 PEPSICO INC COM 713448108 3444 63957 SH SOLE 48892 0 15065 PETROCHINA CO LTD FRN 71646E100 311 6095 SH SOLE 6095 0 0 PFIZER INC COM 717081103 2315 66057 SH SOLE 62513 0 3544 PIONEER HIGH INCOME COM 72369H106 192 11600 SH SOLE 1160 0 0 PROCTER & GAMBLE COM 742718109 416 3970 SH SOLE 3783 0 187 PSS WORLD MED INC COM 69366A100 376 33602 SH SOLE 32486 0 1116 PVF CAPITAL CORP COM COM 693654105 218 13475 SH SOLE 13475 0 0 QUALCOMM INC COM COM 747525103 512 7725 SH SOLE 7725 0 0 RAYONIER INC COM COM 754907103 296 6773 SH SOLE 5873 0 900 RELIANT RES INC COM COM 75952B105 155 18919 SH SOLE 18919 0 0 RESEARCH FRONTIERS COM 760911107 183 18995 SH SOLE 18995 0 0 RESMED INC COM COM 761152107 224 4946 SH SOLE 4746 0 200 RF MICRO DEVICES INC COM 749941100 349 41258 SH SOLE 39729 0 1529 RPM INC OHIO COM 749685103 640 38690 SH SOLE 33690 0 5000 RYLAND GROUP INC COM COM 783764103 460 5177 SH SOLE 4986 0 191 SBC COMMUNICATIONS COM 78387G103 291 11845 SH SOLE 10598 0 1247 SCHWAB CHARLES CORP COM 808513105 204 17564 SH SOLE 17564 0 0 SCUDDER MULTI-MARKET COM 81118Q101 679 76200 SH SOLE 76200 0 0 SIGMA ALDRICH CORP COM 826552101 2352 42467 SH SOLE 34667 0 7800 SIRIUS SATELLITE COM 82966U103 48 14000 SH SOLE 14000 0 0 SONOCO PRODUCTS COM 835495102 928 38215 SH SOLE 30017 0 8198 STRYKER CORP COM COM 863667101 298 3371 SH SOLE 3371 0 0 SUN MICROSYSTEM INC COM 866810104 133 32000 SH SOLE 32000 0 0 TELEFONICA DE ESPANA FRN 879382208 323 7085 SH SOLE 7085 0 0 TEXAS INSTRUMENTS INC COM 882508104 553 18917 SH SOLE 18917 0 0 THORNBURG MTG ASSET COM 885218107 377 12120 SH SOLE 12120 0 0 TIME WARNER INC COM 887317105 458 27151 SH SOLE 27151 0 0 TRANSACTION SYS COM 893416107 609 26305 SH SOLE 26305 0 0 TRC COS INC COM COM 872625108 232 12410 SH SOLE 12410 0 0 TYCO INTL LTD NEW COM 902124106 369 12870 SH SOLE 12870 0 0 U S BANCORP COM 902973304 204 7396 SH SOLE 7246 0 150 UNITED TECHNOLOGIES COM 913017109 374 4331 SH SOLE 4154 0 177 UNITEDHEALTH GROUP COM 91324P102 449 6972 SH SOLE 6712 0 260 URBAN OUTFITTERS INC COM 917047102 738 15350 SH SOLE 15350 0 0 UST INC COM 902911106 250 6931 SH SOLE 6931 0 0 V F CORP COM 918204108 427 9144 SH SOLE 8785 0 359 VALSPAR CORP COM COM 920355104 1318 26772 SH SOLE 19078 0 7694 VARIAN MED SYS INC COM 92220P105 464 5377 SH SOLE 5377 0 0 VIACOM INC COM 925524308 334 8520 SH SOLE 8020 0 500 WAL MART STORES INC COM 931142103 6952 116461 SH SOLE 100506 0 15955 WALT DISNEY COMPANY COM 254687106 691 27651 SH SOLE 27172 0 479 WASHINGTON MUT INC COM 939322103 237 5552 SH SOLE 5552 0 0 WELLS FARGO NEW COM 949746101 236 4160 SH SOLE 4060 0 100 WESCO INTL INC COM COM 95082P105 250 16800 SH SOLE 15200 0 1600 WHEATON RIV MINERALS FRN 962902102 34 10000 SH SOLE 10000 0 0 WYETH COM 983024100 1174 31252 SH SOLE 24850 0 6402 ZIMMER HLDGS INC COM COM 98956P102 616 8345 SH SOLE 7895 0 450 LINE COUNT: 198 TOTAL VALUE: $156,057,000
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