July 30, 2014 1:17 PM ET

Capital Markets

Company Overview of Stifel, Nicolaus & Company, Incorporated

Company Overview

Stifel, Nicolaus & Company, Incorporated is a boutique investment banking firm that offers financial advisory services. The firm offers financial planning, merger and acquisition, capital restructuring, retirement planning, equity sales, public financing, private placement, underwriting, and trust services. Additionally, it provides listed option, annuities, insurance, and industrial research services. Stifel, Nicolaus & Company, Incorporated was founded in 1890 and is headquartered in St. Louis, Missouri. Stifel, Nicolaus & Company, Incorporated operates as a subsidiary of Stifel Financial Corp.

501 North Broadway

One Financial Plaza

St. Louis, MO 63102

United States

Founded in 1890

Phone:

314-342-2110

Fax:

314-342-2151

Key Executives for Stifel, Nicolaus & Company, Incorporated

Chairman of The Board
Age: 55
Managing Director and Senior Vice President
Managing Director
Chief Financial Officer
Age: 55
Co-Head of Investment Banking
Compensation as of Fiscal Year 2014.

Stifel, Nicolaus & Company, Incorporated Key Developments

Stifel, Nicolaus & Company, Incorporated Announces Executive Appointments

Stifel, Nicolaus & Company, Incorporated announced that Richard "Dick" McGalliard, Senior Vice President/Investments and Branch Manager; John McHale, Senior Vice President/Investments and Ryan Stewart, Senior Vice President/Investments. Also, Senior Vice President/Investments Robert Chanin, a 34-year investment industry veteran currently based in the company's office in Macon, Georgia, will split his time between Atlanta and Macon. Combined, the four advisors are responsible for more than $490 million in client assets.

Stifel, Nicolaus & Co. and Moloney Securities Co. Agrees to Sanctions and Fines Imposed by the Financial Industry Regulatory Authority

Stifel, Nicolaus & Co., Moloney Securities Co. and two individuals have agreed to sanctions and fines imposed by the Financial Industry Regulatory Authority (Finra). Stifel was fined more than $16,000 plus interest and agreed to a finding it failed to sell agency bonds at a fair price, 'considering all relevant circumstances.' Moloney was fined $20,000 and agreed to a finding it allowed its representatives to recommend and sell non-traditional exchange-traded funds to customers. David Deihl of St. Peters was assessed a deferred fine of $10,000 and suspended from associating with any Finra members for nine months. Paula Downing of St. Charles was assessed a deferred fine of $5,000 and suspended from Finra associations for 30 days.

Stifel, Nicolaus & Company, Incorporated Presents at Jefferies LLC - 27th Annual Marine Money Week, Jun-17-2014 through Jun-19-2014

Stifel, Nicolaus & Company, Incorporated Presents at Jefferies LLC - 27th Annual Marine Money Week, Jun-17-2014 through Jun-19-2014. Venue: The Pierre Hotel, Fifth Avenue at 61st Street, New York City, New York, United States. Presentation Date & Speakers: Jun-18-2014, Chris J. Weyers, Managing Director, Maritime Investment Banking. Jun-19-2014, Benjamin J. Nolan, Director, Maritime Research.

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