← Tributary

STIFEL, NICOLAUS & COMPANY, INCORPORATED

ST LOUIS, MO · CRD 793 · IAPD ↗ · moxonwealthmanagement.com · 314-342-2000

$197.53BRegulatory AUM
3079Advisory reps
6478Employees
0Clients
11-25Planning clients
22Private funds
52States
214Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
October 2026 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 2 (212 -> 214).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
September 2026 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 2 (210 -> 212).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
July 2026 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 5 (205 -> 210).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2026 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 2 (203 -> 205).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
May 2026 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 4 (199 -> 203).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — STIFEL, NICOLAUS & COMPANY, INCORPORATED added office(s): 486 -> 517 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2026 — STIFEL, NICOLAUS & COMPANY, INCORPORATED grew from 3045 to 3079 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
February 2026 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 16 (210 -> 226).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
January 2026 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 9 (201 -> 210).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
December 2025 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 42 (159 -> 201).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
July 2025 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (158 -> 159).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2025 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (157 -> 158).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — STIFEL, NICOLAUS & COMPANY, INCORPORATED added office(s): 460 -> 486 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2025 — STIFEL, NICOLAUS & COMPANY, INCORPORATED reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
April 2025 — STIFEL, NICOLAUS & COMPANY, INCORPORATED grew from 3027 to 3045 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
February 2025 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 2 (163 -> 165).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
December 2024 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (162 -> 163).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
November 2024 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 3 (159 -> 162).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
August 2024 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (158 -> 159).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
July 2024 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (157 -> 158).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
May 2024 — STIFEL, NICOLAUS & COMPANY, INCORPORATED's Item 11 disclosure-reporting entries rose by 1 (156 -> 157).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — STIFEL, NICOLAUS & COMPANY, INCORPORATED added office(s): 459 -> 460 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2024 — STIFEL, NICOLAUS & COMPANY, INCORPORATED grew from 3012 to 3027 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.