# EDGAR Filing Document

**Accession Number:** 0000094403
**File Stem:** 0000094403-25-000079
**Filing Date:** 2025-7
**Character Count:** 48826
**Document Hash:** e5ce2b0d6e7f063d8427ea8c1fa77aad
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000094403-25-000079.hdr.sgml**: 20250718

**ACCESSION NUMBER**: 0000094403-25-000079

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250701

**DATE AS OF CHANGE**: 20250718

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** STIFEL, NICOLAUS & COMPANY, INCORPORATED
- **CENTRAL INDEX KEY:** 0000094403

**ORGANIZATION NAME:**
- **EIN:** 430538770
- **STATE OF INCORPORATION:** MO
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01277
- **FILM NUMBER:** 251133007

**BUSINESS ADDRESS:**
- **STREET 1:** 501 NORTH BROADWAY
- **CITY:** ST. LOUIS
- **STATE:** MO
- **ZIP:** 63102
- **BUSINESS PHONE:** 314-342-2110

**MAIL ADDRESS:**
- **STREET 1:** 501 NORTH BROADWAY
- **CITY:** ST. LOUIS
- **STATE:** MO
- **ZIP:** 63102

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STIFEL NICOLAUS & CO INC
- **DATE OF NAME CHANGE:** 20020301

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** STIFEL NICOLAUS & CO INC /MO/                           /BD
- **DATE OF NAME CHANGE:** 19940708

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000094403

**Filer CCC:** XXXXXXXX

**Contact Name:** Matthew Wilhelm

**Contact Phone:** 314-342-7341

**Contact Email:** wilhelmm@stifel.com

**Notification Emails:** poec@stifel.com, wilhelmm@stifel.com, fultzrh@stifel.com, sheparda@stifel.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** STIFEL, NICOLAUS & COMPANY, INCORPORATED

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 793

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 43-0538770

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-01044-00

- **Municipal Advisor:** SEC File No: 867-01277

- **Broker-Dealer:** SEC File No: 008-01447, CRD No: 793

- **SEC-Registered Investment Adviser:** SEC File No: 801-10746, CRD No: 793

**E. Principal Office and Place of Business:** 501 NORTH BROADWAY, ST. LOUIS, MO, 63102

**Telephone Number:** 314-342-2110

**Additional Offices of Employment:**

- **Office #1 (Add):** 1401 LAWRENCE STREET, SUITE 900, DENVER, CO, 80202 | Phone: 303-296-2300

- **Office #2 (Add):** 2121 AVENUE OF THE STARS, LOS ANGELES, CA, 90067 | Phone: 213-443-5000

- **Office #3 (Add):** 2801 E. CAMELBACK RD, SUITE 300, PHOENIX, AZ, 85016 | Phone: 602-794-4000

- **Office #4 (Add):** One Montgomery Street, Suite 3700, San Francisco, CA, 94104 | Phone: 415-364-2500

- **Office #5 (Add):** 2660 EASTCHASE LANE LAKEVIEW CENTER, Suite 400, MONTGOMERY, AL, 36117 | Phone: 334-834-5111

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.stifel.com

**G. Chief Compliance Officer (CCO):**

**Name:** Paul Joseph Ayd

**Address:** 5834 E. NAPLES PLAZA, 2nd FLOOR, LONG BEACH, CA, 90803

**Phone Number:** 562-486-3707

**Email:** pjayd@stifel.com

**H. Business Affiliates:**

- **Name:** Stifel Financial Corp

  - **Issuing Agency:** Delaware Division of Corporations

  - **Jurisdiction:** DE

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** MO

**D. Date of Organization:** 02-20-1900

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 5089

**B. Municipal Advisory Activities - Employees:** 178

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 178

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 11

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 266

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Insurance:** Actively Engaged: Yes, Primary Business: —

- **Investment Advisor:** Actively Engaged: Yes, Primary Business: —

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Banking/Thrift institution, Trust Company, Insurance company or agency, Insurance company or agency, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Banking/Thrift institution, Trust Company, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Insurance company or agency, Banking/Thrift institution, Trust Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Investment Adviser

**Total Associated Persons:** 28

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** Yes

- **SEC/CFTC Found Violation?:** Yes

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** Yes

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** Yes

- **Found to Have Violated Regulations?:** Yes

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                      | Title/Status                                                     | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Stifel Financial Corp.    | Shareholder                                                      | 02-01-1982      | E - 75% or more   | Yes               | 43-1273600   |  |
| James Mark Zemlyak        | Executive Vice President and Director                            | 08-14-2002      | NA - less than 5% | Yes               |  | 1586132      |
| Douglas Wayne Noll        | PRINCIPAL OPERATIONS OFFICER                                     | 06-01-1995      | NA - less than 5% | No                |  | 1614129      |
| Ronald James Kruszewski   | President, Chief Executive Officer, and Chairman of the Board    | 08-14-2002      | NA - less than 5% | Yes               |  | 1434827      |
| Mark NMN Fisher           | General Counsel, Secretary                                       | 06-16-2014      | NA - less than 5% | No                |  | 4970942      |
| Paul J Ayd                | Municipal Advisor Chief Compliance Officer - Institutional Group | 06-01-2015      | NA - less than 5% | No                |  | 2963853      |
| GINA ELIZABETH HYDE       | BROKER DEALER CCO - CAPITAL MARKETS                              | 08-01-2016      | NA - less than 5% | No                |  | 2812751      |
| Frederick Richard Schrick | PRINCIPAL FINANCIAL OFFICER                                      | 08-14-2017      | NA - less than 5% | Yes               |  | 5636488      |
| VICTOR JOHN NESI          | Executive Vice President and Director                            | 06-01-2018      | NA - less than 5% | Yes               |  | 2503383      |
| PATRICK RODGERS BROOKS    | ROSFP - CAPITAL MARKETS                                          | 05-01-2009      | NA - less than 5% | No                |  | 2223412      |
| ADAM SCOTT MELINGER       | ROSFP - PCG                                                      | 08-01-2019      | NA - less than 5% | No                |  | 2373020      |
| Charles Edward Dodson     | CCO-ADVISORY SERVICES                                            | 01-10-2022      | NA - less than 5% | No                |  | 1744430      |
| David Dean Sliney         | Senior Vice President and Director                               | 07-01-2020      | NA - less than 5% | No                |  | 2276514      |
| GEOFFREY CLYDE BRIGHT JR  | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP                  | 02-01-2024      | NA - less than 5% | No                |  | 4696103      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                      | Title/Status                                                     | Date Acquired   | Ownership Code    | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Stifel Financial Corp.    | Shareholder                                                      | 02-01-1982      | E - 75% or more   | Yes               | 43-1273600   |  |
|  | Direct      |  | James Mark Zemlyak        | Executive Vice President and Director                            | 08-14-2002      | NA - less than 5% | Yes               |  | 1586132      |
|  | Direct      |  | Douglas Wayne Noll        | PRINCIPAL OPERATIONS OFFICER                                     | 06-01-1995      | NA - less than 5% | No                |  | 1614129      |
|  | Direct      |  | Ronald James Kruszewski   | President, Chief Executive Officer, and Chairman of the Board    | 08-14-2002      | NA - less than 5% | Yes               |  | 1434827      |
|  | Direct      |  | Mark NMN Fisher           | General Counsel, Secretary                                       | 06-16-2014      | NA - less than 5% | No                |  | 4970942      |
|  | Direct      |  | Paul J Ayd                | Municipal Advisor Chief Compliance Officer - Institutional Group | 06-01-2015      | NA - less than 5% | No                |  | 2963853      |
|  | Direct      |  | GINA ELIZABETH HYDE       | BROKER DEALER CCO - CAPITAL MARKETS                              | 08-01-2016      | NA - less than 5% | No                |  | 2812751      |
|  | Direct      |  | Frederick Richard Schrick | PRINCIPAL FINANCIAL OFFICER                                      | 08-14-2017      | NA - less than 5% | Yes               |  | 5636488      |
|  | Direct      |  | VICTOR JOHN NESI          | Executive Vice President and Director                            | 06-01-2018      | NA - less than 5% | Yes               |  | 2503383      |
|  | Direct      |  | PATRICK RODGERS BROOKS    | ROSFP - CAPITAL MARKETS                                          | 05-01-2009      | NA - less than 5% | No                |  | 2223412      |
|  | Direct      |  | ADAM SCOTT MELINGER       | ROSFP - PCG                                                      | 08-01-2019      | NA - less than 5% | No                |  | 2373020      |
|  | Direct      |  | Charles Edward Dodson     | CCO-ADVISORY SERVICES                                            | 01-10-2022      | NA - less than 5% | No                |  | 1744430      |
|  | Direct      |  | David Dean Sliney         | Senior Vice President and Director                               | 07-01-2020      | NA - less than 5% | No                |  | 2276514      |
|  | Direct      |  | GEOFFREY CLYDE BRIGHT JR  | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP                  | 02-01-2024      | NA - less than 5% | No                |  | 4696103      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1707586

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1700217

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1699619

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1699474

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1694783

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1689387

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1688023

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1687258

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1676518

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1669290

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1669208

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1668760

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1644152

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1637261

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1637260

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1637259

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1637258

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1637256

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1637254

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1629311

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1626719

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1625608

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1614211

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1611187

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1604124

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1596460

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1570748

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1564097

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1560003

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1551903

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1551902

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1551640

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1540167

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1540166

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1540166

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1536509

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1536507

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1536403

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1534687

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1530504

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1530503

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1530501

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1529724

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1528813

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1526010

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1526009

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1526008

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1521595

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1521594

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1517856

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1517853

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1517851

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1512869

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1512868

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1512235

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1511115

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1509090

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1509089

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1509088

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1509087

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1501093

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1493577

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1480521

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1473252

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1450827

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1369069

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1368487

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1365410

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1343204

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1318546

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1271342

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1240596

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1205094

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1184105

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 1127683

- **Disclosure Number:** 1127683

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1103048

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1060065

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1043412

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1028019

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 997616

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4, 9-D5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 684571

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 684520

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 612243

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 321992

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 203743

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 138183

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115803

  - **Associated Person:** James Joseph Schlafly

  - **CRD Number:** 735541

  - **Filed On (AP):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

  - **Disclosure Number:** 115803

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115802

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115801

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115800

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115799

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115798

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115797

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115796

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115795

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115794

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115793

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115792

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115791

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115790

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115789

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115788

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115787

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115786

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115785

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115784

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 115783

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1723904

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus

- **CRD Number:** 793

- **Disclosure Number:** 1724827

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus

- **CRD Number:** 793

- **Disclosure Number:** 1728542

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus

- **CRD Number:** 793

- **Disclosure Number:** 1730673

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1739169

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus

- **CRD Number:** 793

- **Disclosure Number:** 1747957

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1794843

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1786574

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1783885

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1797942

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1797957

**Regulatory DRP for: Applicant (Responding to Questions: 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel Nicolaus & Company, Inc.

- **CRD Number:** 793

- **Disclosure Number:** 1834862

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1836598

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL NICOLAUS AND CO INC

- **CRD Number:** 793

- **Disclosure Number:** 1860345

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Stifel

- **CRD Number:** 793

- **Disclosure Number:** 1873974

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 43553804

**Regulatory DRP for: Applicant (Responding to Questions: 9-D3, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1916433

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1920678

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1925809

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1940051

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1960935

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1962183

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1966940

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1977176

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 1996747

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2013546

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2020039

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 796

- **Disclosure Number:** 2046126

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2075136

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2086262

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2112732

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2125336

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2210685

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2210689

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 793

  - **Filed On (AP):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

  - **Disclosure Number:** 1473252

  - **Associated Person:** —

  - **CRD Number:** 793

  - **Filed On (AP):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

  - **Disclosure Number:** 1184105

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2271667

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2327879

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2328881

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2338473

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2338475

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2340327

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2)**

  - **Associated Person:** —

  - **CRD Number:** 793

  - **Filed On (AP):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

  - **Disclosure Number:** 2356684

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2359796

**Regulatory DRP for: Applicant (Responding to Questions: 9-D2, 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

- **CRD Number:** 793

- **Disclosure Number:** 2408904

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

  - **Associated Person:** —

  - **CRD Number:** 793

  - **Filed On (AP):** Form ADV/BD/U4 for STIFEL, NICOLAUS & COMPANY, INCORPORATED

  - **Disclosure Number:** 2410021

### Execution Page

**Signature:** Matthew Wilhelm

**Signer Name:** Matthew Wilhelm

**Title:** Compliance Manager - Licensing and Registration

**Date:** 07-01-2025

**CRD Number:** 793