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Investment Adviser Firm Summary

STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD# 793 / SEC# 8-1447, 801-10746)
Alternate Names: STIFEL CAPITAL ADVISORS , STIFEL NICOLAUS & CO INC INVESTMENT SERVICES , STIFEL NICOLAUS BUTLER WICK DIVISION , STIFEL NICOLAUS WEISEL , STIFEL, NICOLAUS & COMPANY, INCORPORATED , STONE & YOUNGBERG, , TWP PRIVATE WEALTH MANAGEMENT , WASHINGTON CROSSING ADVISORS

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/07/1975
Georgia Terminated 11/30/2011

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/07/2004
Alaska 07/05/2002
Arizona 10/13/2003
Arkansas 01/03/2000
California 07/08/1997
Colorado 04/16/1999
Connecticut 11/21/2005
Delaware 03/28/2006
District of Columbia 11/16/2004
Florida 02/18/1991
Georgia 08/16/1995
Hawaii 07/13/2000
Idaho 03/08/2006
Illinois 01/02/1998
Indiana 02/05/2001
Iowa 01/03/2000
Kansas 02/15/1999
Kentucky 02/25/2004
Louisiana 10/17/2001
Maine 03/08/2006
Maryland 01/01/1998
Michigan 10/17/2002
Minnesota 01/06/2000
Mississippi 01/29/2001
Missouri 01/30/1984
Montana 03/08/2006
Nebraska 06/20/2000
Nevada 09/14/2000
New Hampshire 09/17/2003
New Jersey 09/16/2003
New Mexico 03/08/2006
New York 06/04/2003
North Carolina 02/05/2003
North Dakota 03/08/2006
Ohio 03/23/2000
Oklahoma 10/23/2001
Oregon 01/04/2002
Pennsylvania 09/16/2003
Puerto Rico 03/30/2016
Rhode Island 03/08/2006
South Carolina 01/29/2001
South Dakota 03/08/2006
Tennessee 04/03/2002
Texas 08/28/1973
Utah 03/08/2006
Vermont 03/08/2006
Virgin Islands 04/23/2007
Virginia 07/27/2000
Washington 06/21/2000
West Virginia 03/08/2006
Wisconsin 12/30/1999
Wyoming 07/03/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser