STIFEL, NICOLAUS & COMPANY, INCORPORATED
501 N Broadway, St Louis MO 63102
Firm Details
The basic information about the firm.
Violations
- This firm has reported a violation. Please see Form ADV on the SEC website for more information. Here
Assets Under Management (AUM)
This is the total number of dollars the firm holds in client assets
- $149,248,936,163.00
Number of Accounts
This is the total number of open accounts the firm has under management.
- 348524
Number of Employees
This is the total number of employees that work at the firm.
- 6534
Investment Employees
Investment employees includes any individual that is employed by the firm that may directly make financial decisions on behalf of the client
- 3027
Custody of Assets
Investment employees includes any individual that is employed by the firm that may directly make financial decisions on behalf of the client
- True
Services & Fee Structure & Activities
Information about the services offered and fee structure.
Services
- Financial PlanningPortfolio ManagementPooled Investment ManagementBusiness Investment ManagementConsultingSelection of Other AdvisorsEducation
Fee Structure
- Percentage of Assets Under ManagementFixed FeeCommission
Activities
- Principal Transactions
- Trade/Sell Self-Recommended Securities
- Recommend Own Interest Securities
- Agency Cross Transactions
- Recommend Underwritten Securities
- Securities Buy/Sell Client Account
- Trade Quantity
- Use of Broker-Dealer
- Commission Rate
Clients
Information about the firm's clients.
High Net Worth Clients
A client that has either: greater than $750,000 in investable assets or a $1,500,000 net worth
- 55911
High Net Worth AUM
This is the total number of assets under management for all clients the firm identifies as high net worth
- $95,254,803,115.00
Pension Profit Sharing Clients
Clients of the firm that participate in a profit sharing plan which the firm performs financial services
- 1532
Charitable Organization Clients
Number of clients the firm identifies as Charitable Organizations
- 1532
Charitable Organization AUM
Total number of assets under management for clients the form identifies as a “charitable organization”
- $4,318,393,622.00
Corporate Clients
Corporate clients are any companies that enlist the investment adviser for wealth management services
- 1868
Corporate AUM
Total number of assets under management for clients the form identifies as “corporate”
- $5,483,674,267.00
None US Client Percentage
This is the total number of open accounts the firm has under management.
- 0%