-----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, Cy2LcRBnS6KiBbVA1/oGctfK43Rjh4gArzFDEdK08WrT4gO4xcYa7GS0gdmadOEA Fhik08IFCj+QAa7R3qC+vA== 0000948905-04-000010.txt : 20041108 0000948905-04-000010.hdr.sgml : 20041108 20041108110655 ACCESSION NUMBER: 0000948905-04-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041108 DATE AS OF CHANGE: 20041108 EFFECTIVENESS DATE: 20041108 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: 041124568 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 s13f3-04.txt TEXT DOCUMENT 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: September 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 November 8, 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: 11/04/04 9:49 A.M. FORM 13F INFORMATION TABLE AS OF DATE: 11/04/04 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 286 3572 SH SOLE 3306 0 266 ABBOTT LABS COM 002824100 2405 56769 SH SOLE 46743 0 10026 ADVENT CLAYMORE COM 00764C109 207 8200 SH SOLE 8200 0 0 AER ENERGY RES INC COM 000944108 0 42109 SH SOLE 42109 0 0 AFLAC INC COM 001055102 207 5289 SH SOLE 5289 0 0 ALLIED CAP CORP NEW COM 01903Q108 210 8600 SH SOLE 8600 0 0 ALLSTATE CORP COM 020002101 568 11833 SH SOLE 11733 0 100 ALTRIA GROUP INC COM 02209S103 4053 86167 SH SOLE 71800 0 14367 AMERICAN EXPRESS CO COM 025816109 430 8352 SH SOLE 7728 0 624 AMERICAN INTL GROUP COM 026874107 1961 28838 SH SOLE 26957 0 1881 AMERICAN PWR COM 029066107 1027 59059 SH SOLE 49709 0 9350 AMGEN INC COM 031162100 374 6586 SH SOLE 6436 0 150 ANHEUSER BUSCH COS COM 035229103 2370 47452 SH SOLE 43486 0 3966 ARCHER DANIELS MID COM 039483102 212 12475 SH SOLE 12475 0 0 AUTODESK INC COM 052769106 503 10340 SH SOLE 10340 0 0 AUTOMATIC DATA PROC COM 053015103 1335 32317 SH SOLE 29641 0 2676 AVERY DENNISON CORP COM 053611109 1310 19908 SH SOLE 18156 0 1752 BANK AMERICA CORP COM 060505104 253 5828 SH SOLE 5682 0 146 BELLSOUTH CORP COM COM 079860102 1115 41124 SH SOLE 37574 0 3550 BIOMET INC COM 090613100 440 9382 SH SOLE 9232 0 150 BRANTLEY CAP CORP COM 105494108 334 30150 SH SOLE 30150 0 0 BRISTOL MYERS SQUIBB COM 110122108 1497 63261 SH SOLE 61611 0 1650 BURBERRY GROUP PLC FRN G1699R107 101 15001 SH SOLE 15001 0 0 CALPINE CORP COM COM 131347106 39 13428 SH SOLE 13428 0 0 CEMEX S A ADR SPSRD FRN 151290889 209 7433 SH SOLE 7433 0 0 CERES GROUP INC COM COM 156772105 154 28250 SH SOLE 28250 0 0 CERNER CORP COM COM 156782104 231 5350 SH SOLE 5350 0 0 CHATTEM INC COM COM 162456107 436 13510 SH SOLE 13360 0 150 CHEVRONTEXACO CORP COM 166764100 1929 35960 SH SOLE 33646 0 2314 CHURCH & DWIGHT INC COM 171340102 322 11478 SH SOLE 11253 0 225 CINCINNATI FINL CORP COM 172062101 226 5475 SH SOLE 5475 0 0 CISCO SYS INC COM 17275R102 3514 194148 SH SOLE 167410 0 26738 CITIGROUP INC. COM 172967101 1715 38881 SH SOLE 35754 0 3127 CLEAR CHANNEL COMM COM 184502102 223 7159 SH SOLE 7159 0 0 CLOROX CO COM 189054109 251 4700 SH SOLE 4700 0 0 COCA COLA CO COM 191216100 1154 28809 SH SOLE 23451 0 5358 COGNIZANT TECHNLGY COM 192446102 204 6700 SH SOLE 6700 0 0 COMMERCIAL METALS CO COM 201723103 575 14466 SH SOLE 13707 0 759 CONOCOPHILLIPS COM COM 20825C104 214 2587 SH SOLE 2587 0 0 COPART INC COM COM 217204106 284 14995 SH SOLE 14995 0 0 CORP HIGH YLD FD III COM 219925104 544 61871 SH SOLE 60855 0 1017 CVS CORP COM 126650100 223 5300 SH SOLE 5300 0 0 CYTYC CORP COM COM 232946103 307 12716 SH SOLE 12716 0 0 D & K HEALTHCARE RES COM 232861104 355 36000 SH SOLE 28000 0 8000 DEVON ENERGY CORP NEW COM 25179M103 602 8483 SH SOLE 8483 0 0 DOW CHEMICAL CORP COM 260543103 651 14403 SH SOLE 14403 0 0 DU PONT EI DE NEMOURS COM 263534109 394 9196 SH SOLE 8732 0 464 DVL INC COM COM 233347103 2 20000 SH SOLE 20000 0 0 DYNEX CAP INC COM NEW COM 26817Q506 469 65192 SH SOLE 65192 0 0 EARTHLINK COM COM 270321102 204 19787 SH SOLE 19787 0 0 EASTMAN KODAK COM 277461109 337 10467 SH SOLE 9874 0 593 EATON VANCE SR INC COM 27826S103 293 31244 SH SOLE 29732 0 1512 EBAY INC COM COM 278642103 211 2300 SH SOLE 2200 0 100 ECOLAB INC COM 278865100 1377 43792 SH SOLE 40016 0 3776 EMERSON ELEC CO COM 291011104 4023 65008 SH SOLE 55657 0 9351 ENBRIDGE ENGY PRTNRS COM 29250R106 746 15611 SH SOLE 13111 0 2500 ENDO PHARMACEUTICALS COM 29264F205 187 10177 SH SOLE 10177 0 0 ERESEARCHTECHNOLOGY COM 29481V108 243 18206 SH SOLE 18206 0 0 EXXON CORPORATION COM 30231G102 2103 43509 SH SOLE 39287 0 4222 FED HOME LN MTG COM 313400301 1293 19823 SH SOLE 18258 0 1565 FIRST DATA CORP COM 319963104 2099 48247 SH SOLE 44379 0 3868 FLAHERTY & CRUMRINE COM 33848E106 168 12500 SH SOLE 12500 0 0 FLIR SYS INC COM COM 302445101 576 9850 SH SOLE 9850 0 0 FORTUNE BRANDS INC COM 349631101 207 2800 SH SOLE 2800 0 0 FPL GROUP INC COM COM 302571104 1227 17958 SH SOLE 16393 0 1565 GABELLI UTIL TR COM COM 36240A101 222 23000 SH SOLE 23000 0 0 GANNETT INC DEL COM 364730101 1165 13904 SH SOLE 12676 0 1228 GENENTECH INC COM NEW COM 368710406 241 4600 SH SOLE 4600 0 0 GENERAL ELEC CO COM 369604103 4482 133480 SH SOLE 116555 0 16925 GETTY IMAGES INC COM COM 374276103 268 4850 SH SOLE 4850 0 0 GLAMIS GOLD LTD COM 376775102 561 29938 SH SOLE 28376 0 1562 HANOVER CAP MTG HLDGS COM 410761100 167 13500 SH SOLE 13500 0 0 HARLEY DAVIDSON INC COM 412822108 252 4238 SH SOLE 4238 0 0 HARMAN INTL INDS INC COM 413086109 471 4370 SH SOLE 4370 0 0 HEINZ, H J COMPANY COM 423074103 407 11300 SH SOLE 9750 0 1550 HELEN OF TROY CORP COM G4388N106 379 13915 SH SOLE 13915 0 0 HOME DEPOT INC COM 437076102 2193 55935 SH SOLE 52510 0 3425 HONEYWELL COM 438516106 248 6910 SH SOLE 6743 0 167 I B M COM 459200101 535 6238 SH SOLE 6066 0 172 ING PRIME RATE TR COM 44977W106 1098 138300 SH SOLE 136484 0 1816 INTEL CORP COM 458140100 1043 52005 SH SOLE 50469 0 1536 ISHARES TR 7-10 YR TR COM 464287440 373 4345 SH SOLE 4345 0 0 ISHARES TR DJ SEL DIV COM 464287168 342 5950 SH SOLE 5950 0 0 ISHARES TR DJ US CNS COM 464287812 432 8971 SH SOLE 8971 0 0 ISHARES TR DJ US CONS COM 464287580 689 12709 SH SOLE 12509 0 200 ISHARES TR DJ US FINL COM 464287788 760 8419 SH SOLE 8419 0 0 ISHARES TR DJ US HLTH COM 464287762 528 9475 SH SOLE 9475 0 0 ISHARES TR DJ US TECH COM 464287721 636 14800 SH SOLE 14700 0 100 ISHARES SEMICONDUCT COM 464287523 283 5900 SH SOLE 5900 0 0 ISHARES SOFTWARE COM 464287515 337 9733 SH SOLE 9733 0 0 ISHARES TR MSCI EAFE COM 464287465 1065 7535 SH SOLE 7535 0 0 ISHARES TR EMERGING COM 464287234 357 2069 SH SOLE 1992 0 77 ISHARES NASDAQ BIO COM 464287556 463 6615 SH SOLE 6615 0 0 ISHARES RUSSELL 2000 COM 464287648 733 12505 SH SOLE 12505 0 0 ISHARES RUSSELL 2000 COM 464287630 652 3799 SH SOLE 3799 0 0 ISHARES RUSSELL MID COM 464287473 296 2959 SH SOLE 2959 0 0 ISHARES RUSSELL MID COM 464287481 661 8848 SH SOLE 8848 0 0 ISHARES S&P GLOBAL COM 464287572 769 13636 SH SOLE 13636 0 0 ISHARES S&P MDCP400 COM 464287507 645 5426 SH SOLE 5326 0 100 ISHARES S&P SMALLCAP COM 464287887 204 2166 SH SOLE 2166 0 0 ISHARES S&P SMCP600 COM 464287804 685 4746 SH SOLE 4746 0 0 ISHARES S&P500/BARRA COM 464287309 1571 29168 SH SOLE 28968 0 200 ISHARES S&P500/BARRA COM 464287408 1043 18124 SH SOLE 17924 0 200 J.P. MORGAN CHASE COM 46625H100 1631 41044 SH SOLE 38158 0 2886 JOHNSON & JOHNSON COM 478160104 4425 78560 SH SOLE 64805 0 13755 KEYCORP COM 493267108 1739 55041 SH SOLE 48716 0 6325 KIMBERLY CLARK CORP COM 494368103 1247 19305 SH SOLE 17599 0 1706 LABORATORY CORP AMER COM 50540R409 247 5646 SH SOLE 5646 0 0 LAUDER ESTEE COS COM 518439104 241 5772 SH SOLE 5772 0 0 LEVEL 3 COMMUNICATION COM 52729N100 141 54506 SH SOLE 45806 0 8700 LIBERTY MEDIA CORP COM 530718105 98 11200 SH SOLE 11200 0 0 LIMITED BRANDS INC COM 532716107 228 10235 SH SOLE 10235 0 0 LINEAR TECHNOLOGY COM 535678106 1376 37974 SH SOLE 35037 0 2937 LOWES CO COM 548661107 260 4782 SH SOLE 4782 0 0 MANAGED HIGH YIELD COM 561911108 340 57417 SH SOLE 55175 0 2242 MBNA CORP COM 55262L100 1671 66329 SH SOLE 61403 0 4926 MCDONALDS CORP COM 580135101 1411 50335 SH SOLE 46270 0 4065 MEDTRONIC INC COM 585055106 2163 41673 SH SOLE 39705 0 1968 MERCK & CO INC COM 589331107 2263 68566 SH SOLE 58621 0 9945 MICROSOFT CORP COM 594918104 2148 77681 SH SOLE 74626 0 3055 NATIONAL CITY CORP COM 635405103 419 10861 SH SOLE 10861 0 0 NEXTEL COMMUNICATIONS COM 65332V103 2032 85224 SH SOLE 74074 0 11150 NORFOLK SOUTHN CORP COM 655844108 283 9528 SH SOLE 9528 0 0 NORTEL NETWORKS CORP COM 656568102 401 117968 SH SOLE 114151 0 3817 NORTHROP GRUMMAN CORP COM 666807102 253 4750 SH SOLE 4600 0 150 NOVELLUS SYSTEMS INC COM 670008101 208 7822 SH SOLE 7822 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 OCWEN FINL CORP COM COM 675746101 193 21100 SH SOLE 20100 0 1000 OIL CO LUKOIL ADR FRN 677862104 330 2643 SH SOLE 2643 0 0 P T HM SAMPOERNA SHS COM Y7121Z146 17 25000 SH DEFND 0 25000 0 PARKER HANNIFIN CORP COM 701094104 1253 21284 SH SOLE 19405 0 1879 PAYCHEX INC COM 704326107 1289 42759 SH SOLE 39365 0 3394 PENNEY J C INC COM 708160106 432 12255 SH SOLE 12255 0 0 PEPSICO INC COM 713448108 3116 64044 SH SOLE 48979 0 15065 PFIZER INC COM 717081103 1816 59359 SH SOLE 55830 0 3529 PHELPS DODGE CORP COM 717265102 1102 11970 SH SOLE 11630 0 340 PIONEER HIGH INCOME COM 72369H106 214 12900 SH SOLE 12900 0 0 PROCTER & GAMBLE CO COM 742718109 421 7770 SH SOLE 7568 0 202 PROVIDIAN FINL CORP COM 74406A102 238 15292 SH SOLE 15292 0 0 PVF CAPITAL CORP COM COM 693654105 207 14620 SH SOLE 14620 0 0 QUALCOMM INC COM COM 747525103 597 15297 SH SOLE 15297 0 0 RADIOSHACK CORP COM 750438103 298 10395 SH SOLE 10395 0 0 RAMCO-GERSHENSON COM 751452202 624 23025 SH SOLE 22109 0 916 RAYONIER INC COM COM 754907103 322 7107 SH SOLE 5957 0 1150 RESEARCH FRONTIERS COM 760911107 125 19595 SH SOLE 19595 0 0 RESEARCH IN MOTION COM 760975102 512 6701 SH SOLE 6701 0 0 RESMED INC COM COM 761152107 238 5000 SH SOLE 4800 0 200 ROGERS CORP COM COM 775133101 244 5745 SH SOLE 5745 0 0 RPM INC OHIO COM 749685103 381 21590 SH SOLE 20790 0 800 RYLAND GROUP INC COM COM 783764103 252 2722 SH SOLE 2722 0 0 SATYAM COMPUTER SVCS FRN 804098101 249 10761 SH SOLE 10761 0 0 SBC COMMUNICATIONS COM 78387G103 353 13607 SH SOLE 12680 0 927 SCHWAB CHARLES CORP COM 808513105 122 13246 SH SOLE 13246 0 0 SCUDDER MULTI-MARKET COM 81118Q101 799 92455 SH SOLE 91255 0 1200 SEI CORP COM COM 784117103 251 7451 SH SOLE 7051 0 400 SEMICONDUCTOR HOLDRS COM 816636203 276 9135 SH SOLE 9135 0 0 SIGMA ALDRICH CORP COM 826552101 2438 42040 SH SOLE 35440 0 6600 SIRIUS SATELLITE COM 82966U103 158 49500 SH SOLE 49500 0 0 SONOCO PRODUCTS COM 835495102 1002 37915 SH SOLE 29717 0 8198 SOUTHWESTERN ENERGY COM 845467109 548 13040 SH SOLE 13040 0 0 STRYKER CORP COM COM 863667101 573 11909 SH SOLE 11909 0 0 SUN MICROSYSTEM INC COM 866810104 119 29400 SH SOLE 29400 0 0 SWIFT TRANSN CO COM COM 870756103 183 10864 SH SOLE 10864 0 0 SYMANTEC CORP COM COM 871503108 815 14850 SH SOLE 2850 0 12000 THORNBURG MTG ASSET COM 885218107 352 12146 SH SOLE 12146 0 0 TIME WARNER INC COM 887317105 290 17981 SH SOLE 17981 0 0 TYCO INTL LTD NEW COM 902124106 425 13870 SH SOLE 13870 0 0 U S BANCORP COM 902973304 346 11966 SH SOLE 11816 0 150 UNITED PARCEL SVC COM 911312106 345 4543 SH SOLE 4543 0 0 UNITED TECHNOLOGIES COM 913017109 434 4648 SH SOLE 4555 0 93 URBAN OUTFITTERS INC COM 917047102 570 16563 SH SOLE 16563 0 0 VALSPAR CORP COM COM 920355104 1179 25261 SH SOLE 18578 0 6683 VARIAN MED SYS INC COM 92220P105 332 9608 SH SOLE 9608 0 0 VERIZON COM 92343V104 213 5404 SH SOLE 5298 0 106 VIPER NETWORKS INC COM 92762R105 9 22000 SH SOLE 22000 0 0 WAL MART STORES INC COM 931142103 5929 111444 SH SOLE 97682 0 13762 WALGREEN COMPANY COM 931422109 212 5922 SH SOLE 5922 0 0 WALT DISNEY COMPANY COM 254687106 580 25720 SH SOLE 25558 0 162 WELLS FARGO NEW COM 949746101 1635 27413 SH SOLE 25424 0 1989 WESTERN WIRELESS COM 95988E204 606 23562 SH SOLE 22596 0 966 WHOLE FOODS MKT INC COM 966837106 349 4065 SH SOLE 4065 0 0 WYETH COM 983024100 1168 31242 SH SOLE 24840 0 6402 YAHOO INC COM COM 984332106 533 15722 SH SOLE 15722 0 0
LINE COUNT: 188 TOTAL VALUE: $147,493,400 -----END PRIVACY-ENHANCED MESSAGE-----