STIFEL, NICOLAUS & COMPANY, INCORPORATED of ST LOUIS, MO is an SEC-registered investment adviser (CRD 793). Regulatory assets under management: $197.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 66 people.
| Name | Role | Location |
|---|---|---|
| James Mark Zemlyak | EXECUTIVE VICE PRESIDENT & DIRECTOR | — |
| Douglas Wayne Noll | PRINCIPAL OPERATIONS OFFICER | — |
| Ronald James Kruszewski | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | — |
| Mark Philip Fisher | GENERAL COUNSEL, SECRETARY | — |
| Paul Joseph Ayd | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | — |
| Gina Elizabeth Hyde | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | — |
| Frederick Richard Schrick | PRINCIPAL FINANCIAL OFFICER | — |
| Patrick Rodgers Brooks | ROSFP - CAPITAL MARKETS | — |
| Adam Scott Melinger | ROSFP - PCG | — |
| Charles Edward Dodson | CCO ADVISORY SERVICES | — |
| David Dean Sliney | SENIOR VICE PRESIDENT & DIRECTOR | — |
| Geoffrey Clyde Jr Bright | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | — |
| Charles Bradford Green Raymond | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | — |
| Victor John Nesi | EXECUTIVE VICE PRESIDENT & DIRECTOR | — |
| STEGELAND GARRY JOSEPH | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER - STIFEL FINANCIAL | — |
| KRUSZEWSKI RONALD JAMES | CHAIRMAN AND CEO; CHAIRMAN, CEO AND DIRECTOR; CHAIRMAN, CEO, PRESIDENT, AND DIRECTOR (+3 more) | — |
| MCCUAIG SCOTT BRADLEY | PRESIDENT & CO-CCO, DIRECTOR; PRESIDENT & CO-COO, DIRECTOR; SENIOR VICE PRESIDENT, DIRECTOR | — |
| ZEMLYAK JAMES MARK | CFO, CO-COO AND DIRECTOR; CHIEF FINANCIAL OFFICER/DIRECTOR; CO-COO AND DIRECTOR (+3 more) | — |
| SCHLAFLY JAMES JOSEPH III | SENIOR VICE PRESIDENT/DIRECTOR | — |
| BURKEMPER BERNARD NEAL | VICE PRESIDENT/CFO; VICE PRESIDENT/CONTROLLER | — |
| PENWELL NANCY ANN | FIRST VICE PRESIDENT/ROSFP; FIRST VICE PRESIDENT/SROP; VICE PRESIDENT/SROP | — |
| KELLAMS MARCIA JOHNSON | CORPORATE SECRETARY | — |
| NOLL DOUGLAS WAYNE | CHIEF OPERATIONS OFFICER; PRINCIPAL OPERATIONS OFFICER | — |
| BELL STEVEN HUGH | DIRECTOR | — |
| IMHOFF MICHAEL FRANCIS | DIRECTOR | — |
Showing 10 of 89 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-06-29 | regulatory | BETWEEN SEPTEMBER 2020 AND JANUARY 2023, THE FIRM FAILED TO IMPLEMENT RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES THAT WERE REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS. SPECIFICALLY, AND DUE TO A CODING ERROR, THE FIRM FAILED TO APPLY ITS AVERAGE DAILY VOLUME CONTROL FOR OUT… | Final | $70K |
| 2026-06-15 | regulatory | WITHOUT ADMITTING OR DENYING ANY STATEMENTS OF FACTS OR VIOLATIONS OF LAW, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE CHARGING OF REASONABLE COMMISSIONS TO CUSTOMERS ON CERTAIN LOW PR… | Final | $20K |
| 2026-06-08 | regulatory | WITHOUT ADMITTING OR DENYING ANY STATEMENTS OF FACTS OR VIOLATIONS OF LAW, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE CHARGING OF REASONABLE COMMISSIONS TO CUSTOMERS ON CERTAIN LOW PR… | Final | $20K |
| 2026-04-13 | regulatory | WITHOUT ADMITTING OR DENYING ANY STATEMENTS OF FACTS OR VIOLATIONS OF LAW, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE CHARGING OF REASONABLE COMMISSIONS TO CUSTOMERS ON CERTAIN LOW PR… | Final | $20K |
| 2026-04-01 | regulatory | WITHOUT ADMITTING OR DENYING ANY STATEMENTS OF FACTS OR VIOLATIONS OF LAW, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE CHARGING OF REASONABLE COMMISSIONS TO CUSTOMERS ON CERTAIN LOW PR… | Final | $20K |
| 2026-03-20 | regulatory | WITHOUT ADMITTING OR DENYING ANY STATEMENTS OF FACTS OR VIOLATIONS OF LAW, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE CHARGING OF REASONABLE COMMISSIONS TO CUSTOMERS ON CERTAIN LOW PR… | Final | $20K |
| 2026-02-24 | regulatory | WITHOUT ADMITTING OR DENYING ANY STATEMENTS OF FACTS OR VIOLATIONS OF LAW, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE CHARGING OF REASONABLE COMMISSIONS TO CUSTOMERS ON CERTAIN LOW PR… | Final | $20K |
| 2026-02-10 | regulatory | WITHOUT ADMITTING OR DENYING ANY STATEMENTS OF FACTS OR VIOLATIONS OF LAW, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE CHARGING OF REASONABLE COMMISSIONS TO CUSTOMERS ON CERTAIN LOW PR… | Final | $20K |
| 2026-01-21 | regulatory | WITHOUT ADMITTING OR DENYING ANY STATEMENTS OF FACTS OR VIOLATIONS OF LAW, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE CHARGING OF REASONABLE COMMISSIONS TO CUSTOMERS ON CERTAIN LOW PR… | Final | $20K |
| 2026-01-15 | regulatory | WITHOUT ADMITTING OR DENYING ANY STATEMENTS OF FACTS OR VIOLATIONS OF LAW, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE CHARGING OF REASONABLE COMMISSIONS TO CUSTOMERS ON CERTAIN LOW PR… | Final | $20K |