-----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, OsW4IRsr7siGyxhn5p34pNKo/w6XC9GyvYnKI58FIn8f2myzaG13UkyiBBIOjW/S xCLBFySD8wIBDBEB1xJrEw== 0000948905-04-000006.txt : 20040804 0000948905-04-000006.hdr.sgml : 20040804 20040804094314 ACCESSION NUMBER: 0000948905-04-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040804 EFFECTIVENESS DATE: 20040804 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: 04950134 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 s13f2-04.txt TEXT FILE WITH PAGE BREAKS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 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 August 4, 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: 07/30/04 1:35 P.M. FORM 13F INFORMATION TABLE AS OF DATE: 6/30/04 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 342 3802 SH SOLE 3446 0 356 ABBOTT LABS COM 002824100 2340 57409 SH SOLE 47493 0 9916 ACCENTURE LTD SHS COM G1150G111 381 13866 SH SOLE 13292 0 574 ADVENT CLAYMORE CONV COM 00764C109 205 8200 SH SOLE 8200 0 0 AER ENERGY RES INC COM 000944108 0 42109 SH SOLE 42109 0 0 AETNA U S HEALTHCARE COM 00817Y108 200 2348 SH SOLE 2348 0 0 AFFYMETRIX INC OC-CAP COM 00826T108 566 17305 SH SOLE 17305 0 0 ALLIED CAP CORP NEW COM 01903Q108 213 8731 SH SOLE 8731 0 0 ALLSTATE CORP COM 020002101 750 16104 SH SOLE 16004 0 100 ALTRIA GROUP INC COM COM 02209S103 4432 88544 SH SOLE 73584 0 14960 AMERICAN EXPRESS CO COM 025816109 458 8905 SH SOLE 8122 0 783 AMERICAN INTL GROUP COM 026874107 2213 31048 SH SOLE 28874 0 2174 AMERICAN PWR CONV COM 029066107 1167 59400 SH SOLE 50250 0 9150 AMERITRADE HLDG CORP COM 03074K100 448 39445 SH SOLE 39445 0 0 AMGEN INC COM 031162100 355 6504 SH SOLE 6354 0 150 ANHEUSER BUSCH COS COM 035229103 2538 47009 SH SOLE 42675 0 4334 ANTHEM INC COM COM 03674B104 465 5192 SH SOLE 4879 0 313 ARCHER DANIELS MID COM 039483102 344 20483 SH SOLE 19696 0 787 ARMOR HLDGS INC COM COM 042260109 594 17475 SH SOLE 17475 0 0 ASM INTL N V ORD FRN N07045102 352 17035 SH SOLE 16335 0 700 AUTOMATIC DATA COM 053015103 1529 36502 SH SOLE 33158 0 3344 AVERY DENNISON CORP COM 053611109 1389 21701 SH SOLE 19592 0 2109 AVNET INC COM 053807103 344 15134 SH SOLE 14522 0 612 BANK AMERICA CORP COM 060505104 288 3398 SH SOLE 3224 0 174 BANK ONE CORP COM 06423A103 892 17488 SH SOLE 15807 0 1681 BELLSOUTH CORP COM COM 079860102 1168 44555 SH SOLE 40251 0 4304 BIOMET INC COM 090613100 382 8601 SH SOLE 8451 0 150 BOEING CO COM 097023105 229 4478 SH SOLE 4093 0 385 BOSTON SCIENTIFIC COM 101137107 251 5876 SH SOLE 5726 0 150 BRANTLEY CAP CORP COM 105494108 327 30150 SH SOLE 30150 0 0 BRISTOL MYERS SQUIBB COM 110122108 1479 60347 SH SOLE 58697 0 1650 BURBERRY GROUP PLC FRN G1699R107 140 18839 SH SOLE 18839 0 0 CALPINE CORP COM COM 131347106 65 15048 SH SOLE 15048 0 0 CARDINAL HEALTH INC COM 14149Y108 395 5643 SH SOLE 5432 0 211 CEMEX S A ADR SPSRD FRN 151290889 340 11681 SH SOLE 11195 0 486 CENDANT CORPORATION COM 151313103 648 26460 SH SOLE 25560 0 900 CERES GROUP INC COM COM 156772105 173 28250 SH SOLE 28250 0 0 CERNER CORP COM COM 156782104 854 19160 SH SOLE 19160 0 0 CHARMING SHOPPES INC COM 161133103 344 38525 SH SOLE 36871 0 1654 CHEVRONTEXACO CORP COM 166764100 1819 19329 SH SOLE 17957 0 1372 CHICOS FAS INC COM COM 168615102 256 5669 SH SOLE 5669 0 0 CHURCH & DWIGHT INC COM 171340102 347 7571 SH SOLE 7571 0 0 CINCINNATI FINL CORP COM 172062101 238 5475 SH SOLE 5475 0 0 CISCO SYS INC COM 17275R102 4660 196634 SH SOLE 169596 0 27038 CITIGROUP INC. COM 172967101 2083 44801 SH SOLE 41091 0 3710 CLEAR CHANNEL COMM COM 184502102 546 14772 SH SOLE 14772 0 0 CLOROX CO COM 189054109 253 4700 SH SOLE 4700 0 0 COCA COLA CO COM 191216100 2459 48716 SH SOLE 43460 0 5256 COGNIZANT TECHNLGY COM 192446102 299 11756 SH SOLE 11756 0 0 COINSTAR INC COM COM 19259P300 482 21950 SH SOLE 21008 0 942 COLGATE PALMOLIVE CO COM 194162103 272 4660 SH SOLE 4460 0 200 CONSTELLATION BRANDS COM 21036P108 295 7943 SH SOLE 7943 0 0 CORPORATE HIGH YIELD COM 219925104 383 48191 SH SOLE 48191 0 0 CVS CORP COM 126650100 402 9572 SH SOLE 9572 0 0 CYTYC CORP COM COM 232946103 323 12716 SH SOLE 12716 0 0 D & K HEALTHCARE RES COM 232861104 432 36000 SH SOLE 28000 0 8000 DEERE & CO. COM 244199105 203 2900 SH SOLE 2800 0 100 DEVON ENERGY CORP COM 25179M103 578 8757 SH SOLE 8757 0 0 DOW CHEMICAL CORP COM 260543103 673 16532 SH SOLE 16532 0 0 DU PONT E I DE COM 263534109 444 10000 SH SOLE 9364 0 636 DVL INC COM COM 233347103 2 20000 SH SOLE 20000 0 0 DYNEX CAP INC COM COM 26817Q506 569 84923 SH SOLE 84923 0 0 E M C CORP MASS COM COM 268648102 209 18328 SH SOLE 18128 0 200 EASTMAN KODAK COM 277461109 478 17704 SH SOLE 16457 0 1247 EATON VANCE SR INC COM 27826S103 148 15600 SH SOLE 15600 0 0 ECOLAB INC COM 278865100 1494 47143 SH SOLE 42697 0 4446 EMERSON ELEC CO COM 291011104 4091 64376 SH SOLE 55025 0 9351 ENBRIDGE ENERGY PTNR COM 29250R106 695 15000 SH SOLE 12500 0 2500 ENDO PHARMACEUTICALS COM 29264F205 364 15541 SH SOLE 14897 0 644 EXXON CORPORATION COM 30231G102 2001 45061 SH SOLE 40530 0 4531 FED HOME LN MTG COM 313400301 1255 19827 SH SOLE 17936 0 1891 FIRST DATA CORP COM 319963104 2282 51247 SH SOLE 46879 0 4368 FLAHERTY & CRUMRINE COM 33848E106 157 12500 SH SOLE 12500 0 0 FLEXTRONICS INTL LTD FRN Y2573F102 215 13450 SH SOLE 13450 0 0 FORTUNE BRANDS INC COM 349631101 262 3480 SH SOLE 3480 0 0 FPL GROUP INC COM COM 302571104 1251 19556 SH SOLE 17685 0 1871 GABELLI UTIL TR COM COM 36240A101 212 23000 SH SOLE 23000 0 0 GANNETT INC DEL COM 364730101 1413 16656 SH SOLE 15203 0 1453 GENENTECH INC COM COM 368710406 259 4600 SH SOLE 4600 0 0 GENERAL ELEC CO COM 369604103 4405 135945 SH SOLE 118893 0 17052 GENERAL MTRS CORP COM 370442105 223 4797 SH SOLE 4288 0 509 HANOVER CAP MTG HLDGS COM 410761100 159 13500 SH SOLE 13500 0 0 HARLEY DAVIDSON INC COM 412822108 450 7270 SH SOLE 6998 0 272 HARMAN INTL INDS INC COM 413086109 684 7520 SH SOLE 7520 0 0 HEADWATERS INC COM COM 42210P102 557 21495 SH SOLE 21495 0 0 HEINZ, H J COMPANY COM 423074103 477 12177 SH SOLE 10627 0 1550 HELEN OF TROY CORP COM G4388N106 870 23599 SH SOLE 23599 0 0 HOME DEPOT INC COM 437076102 1858 52793 SH SOLE 48606 0 4187 HONEYWELL INTL, INC. COM 438516106 484 13202 SH SOLE 11320 0 1882 HUANENG PWR INTL INC FRN 443304100 217 5987 SH SOLE 5987 0 0 I B M COM 459200101 582 6608 SH SOLE 6355 0 253 ING PRIME RATE TR COM 44977W106 1024 127212 SH SOLE 127212 0 0 INGRAM MICRO INC COM 457153104 283 19535 SH SOLE 18787 0 748 INTEL CORP COM 458140100 1476 53470 SH SOLE 51719 0 1751 INVESTMENT TECH COM 46145F105 304 23765 SH SOLE 22806 0 959 ISHARES INC MSCI COM 464286848 556 52374 SH SOLE 52374 0 0 ISHARES TR 7-10 YR COM 464287440 361 4345 SH SOLE 4345 0 0 ISHARES TR DJ SEL COM 464287168 231 4150 SH SOLE 4150 0 0 ISHARES TR DJ US CNS COM 464287812 339 6471 SH SOLE 6471 0 0 ISHARES TR DJ US CONS COM 464287580 646 11609 SH SOLE 11409 0 200 ISHARES TR DJ US FINL COM 464287788 772 8593 SH SOLE 8593 0 0 ISHARES TR DJ US COM 464287762 488 8325 SH SOLE 8325 0 0 ISHARES TR DJ US COM 464287721 631 13100 SH SOLE 13000 0 100 ISHARES TR G S SEMI COM 464287523 234 3950 SH SOLE 3950 0 0 ISHARES TR G S COM 464287515 325 8523 SH SOLE 8523 0 0 ISHARES TR MSCI COM 464287465 940 6575 SH SOLE 6575 0 0 ISHARES TR NSDQ BIO COM 464287556 588 7829 SH SOLE 7829 0 0 ISHARES TR RSL 2000 COM 464287648 794 12705 SH SOLE 12705 0 0 ISHARES TR RSL 2000 COM 464287630 659 3826 SH SOLE 3826 0 0 ISHARES TR RSL MID COM 464287473 333 3356 SH SOLE 3356 0 0 ISHARES TR RSL MID COM 464287481 689 8827 SH SOLE 8827 0 0 ISHARES TR S&P GBL COM 464287572 775 13343 SH SOLE 13343 0 0 ISHARES TR S&P MDCP COM 464287507 678 5576 SH SOLE 5476 0 100 ISHARES TR S&P SMCP COM 464287804 911 6187 SH SOLE 6187 0 0 ISHARES TR S&P500 COM 464287309 1562 27496 SH SOLE 27296 0 200 ISHARES TR S&P500 COM 464287408 985 17189 SH SOLE 16989 0 200 J.P. MORGAN CHASE COM 46625H100 720 18581 SH SOLE 17908 0 673 JOHNSON & JOHNSON COM 478160104 4331 77749 SH SOLE 63491 0 14258 KEYCORP COM 493267108 1687 56425 SH SOLE 50100 0 6325 KIMBERLY CLARK CORP COM 494368103 1304 19793 SH SOLE 17954 0 1839 LAUDER ESTEE COS COM 518439104 301 6164 SH SOLE 6164 0 0 LEVEL 3 COMM COM 52729N100 81 23206 SH SOLE 19506 0 3700 LIBERTY MEDIA CORP COM 530718105 101 11200 SH SOLE 11200 0 0 LIFEPOINT HOSPS INC COM 53219L109 366 9833 SH SOLE 9409 0 424 LINEAR TECHNOLOGY COM 535678106 1640 41549 SH SOLE 38085 0 3464 LOWES CO COM 548661107 262 4982 SH SOLE 4982 0 0 MANAGED HIGH YIELD COM 561911108 231 43731 SH SOLE 43731 0 0 MBNA CORP COM 55262L100 1961 76033 SH SOLE 70343 0 5690 MCDONALDS CORP COM 580135101 1401 53896 SH SOLE 49004 0 4892 MEDTRONIC INC COM 585055106 2088 42867 SH SOLE 40496 0 2371 MERCK & CO INC COM 589331107 3286 69188 SH SOLE 59069 0 10119 MICROSOFT CORP COM 594918104 2245 78601 SH SOLE 75262 0 3339 NATIONAL CITY CORP COM 635405103 272 7782 SH SOLE 7782 0 0 NEXTEL COMMUNICATIONS COM 65332V103 987 37039 SH SOLE 31839 0 5200 NORFOLK SOUTHN CORP COM 655844108 403 15215 SH SOLE 14584 0 631 NORTEL NETWORKS CORP COM 656568102 596 119443 SH SOLE 115626 0 3817 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 67072W309 1000 40 SH SOLE 40 0 0 OCWEN FINL CORP COM COM 675746101 161 13400 SH SOLE 13400 0 0 OIL CO LUKOIL ADR FRN 677862104 286 2711 SH SOLE 2711 0 0 OMNICARE INC COM 681904108 243 5687 SH SOLE 5687 0 0 OPEN TEXT CORP COM COM 683715106 628 19680 SH SOLE 19680 0 0 ORACLE SYS CORP COM 68389X105 161 13475 SH SOLE 13175 0 300 OVERSTOCK COM INC DEL COM 690370101 347 8885 SH SOLE 8460 0 425 PARKER HANNIFIN CORP COM 701094104 1390 23377 SH SOLE 21114 0 2263 PEPSICO INC COM 713448108 3428 63617 SH SOLE 48552 0 15065 PETROCHINA CO LTD COM 71646E100 288 6231 SH SOLE 6231 0 0 PFIZER INC COM 717081103 2323 67770 SH SOLE 63905 0 3865 PHELPS DODGE CORP COM 717265102 886 11432 SH SOLE 11092 0 340 PIONEER HIGH INCOME COM 72369H106 179 11600 SH SOLE 11600 0 0 PRINCIPAL FINL GROUP COM 74251V102 347 9982 SH SOLE 9580 0 402 PROCTER & GAMBLE COM 742718109 446 8198 SH SOLE 7844 0 354 PVF CAPITAL CORP COM COM 693654105 218 13475 SH SOLE 13475 0 0 QUALCOMM INC COM COM 747525103 585 8015 SH SOLE 8015 0 0 RAYONIER INC COM COM 754907103 339 7623 SH SOLE 6473 0 1150 RESEARCH FRONTIERS COM 760911107 144 20245 SH SOLE 20245 0 0 RESMED INC COM COM 761152107 280 5496 SH SOLE 5296 0 200 RF MICRO DEVICES INC COM 749941100 291 38792 SH SOLE 37263 0 1529 RPM INC OHIO COM 749685103 536 35290 SH SOLE 32290 0 3000 RYLAND GROUP INC COM COM 783764103 370 4730 SH SOLE 4539 0 191 SATYAM COMPUTER SVCS FRN 804098101 333 17985 SH SOLE 17267 0 718 SBC COMMUNICATIONS COM 78387G103 367 15119 SH SOLE 13872 0 1247 SCHWAB CHARLES CORP COM 808513105 181 18841 SH SOLE 18841 0 0 SCUDDER MULTI-MARKET COM 81118Q101 650 84020 SH SOLE 84020 0 0 SEMICONDUCTOR HOLDRS COM 816636203 346 9135 SH SOLE 9135 0 0 SIGMA ALDRICH CORP COM 826552101 2525 42367 SH SOLE 35767 0 6600 SIRIUS SATELLITE RAD COM 82966U103 42 13500 SH SOLE 13500 0 0 SONOCO PRODUCTS COM 835495102 967 37915 SH SOLE 29717 0 8198 STRYKER CORP COM COM 863667101 821 14934 SH SOLE 14644 0 290 SUN MICROSYSTEM INC COM 866810104 128 29600 SH SOLE 29600 0 0 SYMANTEC CORP COM COM 871503108 1285 29346 SH SOLE 16346 0 13000 TEXAS INSTRUMENTS INC COM 882508104 462 19124 SH SOLE 19124 0 0 THORNBURG MTG ASSET COM 885218107 327 12133 SH SOLE 12133 0 0 TIME WARNER INC COM 887317105 462 26281 SH SOLE 26281 0 0 TYCO INTL LTD NEW COM COM 902124106 427 12870 SH SOLE 12870 0 0 U S BANCORP COM 902973304 383 13884 SH SOLE 13734 0 150 UNITED PARCEL SVC INC COM 911312106 289 3843 SH SOLE 3843 0 0 UNITED TECHNOLOGIES COM 913017109 389 4251 SH SOLE 4074 0 177 URBAN OUTFITTERS INC COM 917047102 820 26940 SH SOLE 26940 0 0 VALSPAR CORP COM COM 920355104 1333 26461 SH SOLE 19778 0 6683 VARIAN MED SYS INC COM 92220P105 470 5929 SH SOLE 5929 0 0 VERISIGN INC COM COM 92343E102 231 11584 SH SOLE 11584 0 0 VIPER NETWORKS INC COM 92762R105 9 20000 SH SOLE 20000 0 0 VISHAY INTERTECH COM 928298108 462 24849 SH SOLE 24101 0 748 WAL MART STORES INC COM 931142103 6051 114698 SH SOLE 100351 0 14347 WALT DISNEY COMPANY COM 254687106 776 30433 SH SOLE 29954 0 479 WELLS FARGO NEW COM 949746101 1582 27651 SH SOLE 25295 0 2356 WESCO INTL INC COM COM 95082P105 300 16300 SH SOLE 14700 0 1600 WYETH COM 983024100 1247 34489 SH SOLE 28087 0 6402 LINE COUNT: 193 TOTAL VALUE: $157,758,000
-----END PRIVACY-ENHANCED MESSAGE-----