Sherri Lynn Kramer | Financial Professional | Portage, Michigan | STIFEL, NICOLAUS & COMPANY, INCORPORATED

Professional summary

Sherri Lynn Kramer, who also goes by Sherri Kramer, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Portage, Michigan and STIFEL INDEPENDENT ADVISORS, LLC located in St. Louis, Missouri.

Sherri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Sherri has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sherri Kramer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sherri Lynn Kramer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Sherri Lynn Kramer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 3, 2000 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 950 Trade Center Way Suite 305, Portage, MI 49002Office #2: 5500 Wayzata Boulevard Suite 400, Golden Valley, MN 55416Office #3: 121 Sw Morrison Suite 1800, Portland, OR 97204Office #4: 304 E 5th St Pob 2008, Storm Lake, IA 50588-2312Office #5: 5780 Fleet Street, Suite 250, Carlsbad, CA 92008Office #6: 5181 Cascade Road Se, Grand Rapids, MI 49546Office #7: 8182 Maryland Ave. 1st Floor, Clayton, MO 63105Office #8: 3590 S. Okemos Road, Okemos, MI 48864Office #9: 14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254Office #10: 2801 East Camelback Road, Phoenix, AZ 85016Office #11: 8555 Executive Woods Dr. Suite 300, Lincoln, NE 68512Office #12: 16870 West Bernardo Drive Suite 150, San Diego, CA 92127Office #13: 1249 W. Liebau Road, Suite 250, Mequon, WI 53092Office #14: 875 Harmon Stream Blvd Suite 200, Bozeman, MT 59718Office #15: 550 S Winchester Blvd Suite 500, San Jose, CA 95128Office #16: 400 Spectrum Center Drive, Irvine, CA 92618Office #17: 3075 Townsgate Road Suite 300, Westlake Village, CA 91361Office #18: 701 East Lake Street, Wayzata, MN 55391Office #19: Riverview Tower 2100 Northwest Blvd Suite 390, Coeur D'alene, ID 83814Office #20: 901 Bruce Road, Chico, CA 95928Office #21: 27201 Puerta Real Suite 350, Mission Viejo, CA 92691Office #22: 1010 West St. Germain St. Suite 400, St. Cloud, MN 56302Office #23: 321 East 2nd Street 1st & 2nd Floor, Rochester, MI 48307Office #24: 875 Main Street Nw, Bourbonnais, IL 60914Office #25: 500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596Office #26: 401 North 31st Street Suite 1610, Billings, MT 59101Office #27: 520 Maryville Centre Drive Suite 410, St Louis, MO 63141Office #28: One Fifth Street Suite 300, Wenatchee, WA 98801Office #29: 150 S. Mckinley Street, Casper, WY 82601Office #30: 800 West Main Street Suite 1260 (12th Floor), Boise, ID 83702Office #31: 10310 Orland Parkway, Suite 104, Orland Park, IL 60467Office #32: 1430 Military Street Suite #2, Port Huron, MI 48060Office #33: W233 N2080 Ridgeview Pkw Suite 202, Waukesha, WI 53188Office #34: 201 West North River Drive Suite 200, Spokane, WA 99201Office #35: 10100 Trinity Parkway Suite 320, Stockton, CA 95219Office #36: 595 S 60th Street Suite 260, West Des Moines, IA 50266Office #37: 1400 West Century Avenue P.o.b 1238, 58502-9955, Bismarck, ND 58503Office #38: 3751 South Columbia Road, Building A P O B 14376, 58208-9902, Grand Forks, ND 58201Office #39: 24591 Silver Cloud Ct. Suite 250, Monterey, CA 93940Office #40: 501 N. Broadway, St. Louis, MO 63102Office #41: 415 N. Franklin, Decatur, IL 62523Office #42: 263 Shuman Blvd. Suite 130, Naperville, IL 60563Office #43: 4321 W. College Ave, Berbee Building, Appleton, WI 54914Office #44: 50 W. Liberty Suite 100, Reno, NV 89501Office #45: 300 Park Drive South, Great Falls, MT 59405-1819Office #46: 202 East State Street Suite 300, Traverse City, MI 49684Office #47: 909 A Street, Tacoma, WA 98402Office #48: 125 E. Water Street, West Bend, WI 53095Office #49: 2010 Caton Way Sw Percival Bldg. 11-suite101, Olympia, WA 98502Office #50: 111 South 2nd Street Suite 110, Mankato, MN 56001Office #51: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067Office #52: 4460 Broad Street Suite 210, San Luis Obispo, CA 93401Office #53: 31 W. Stuart Avenue Suite 200, Redlands, CA 92374Office #58: 2501 W Beltline Highway Suite 401, Madison, WI 53713Office #59: 440 West Main Street Suite 200, Brighton, MI 48116Office #60: 1420 Rocky Ridge Drive, Roseville, CA 95661Office #61: 400 Gold Circle Suite 220, Dakota Dunes, SD 57049Office #62: 10 East Courtney Street, Rhinelander, WI 54501Office #63: One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034Office #64: 201 Main Street, La Crosse, WI 54601Office #65: 206 East Anapamu Street, Santa Barbara, CA 93101Office #66: 404 Sierra College Drive, Grass Valley, CA 95945Office #67: 1305 Shapiro Drive, Festus, MO 63028Office #68: 415 Rodd Street Suite 1, Midland, MI 48640Office #69: 11201 North Port Washington Road (south), Mequon, WI 53092Office #70: 51 Coffeen Avenue Suite 102, Sheridan, WY 82801-3642Office #71: 100 North Field Drive, Suite 340, Lake Forest, IL 60045Office #72: One South Harbor Avenue, Grand Haven, MI 49417Office #73: 3201 W White Oaks Drive Suite 102, Springfield, IL 62704Office #74: 1099 Alakea Street Suite 1510, Honolulu, HI 96813Office #75: 200 S. Washington Street River Walk Plaza, Green Bay, WI 54301Office #76: 18000 West Sarah Lane Suite 180, Brookfield, WI 53045Office #77: 1174 Cornucopia Street Nw Suite 230, Salem, OR 97304Office #78: 1337 Vine Street, Paso Robles, CA 93446Office #79: 1865 East M 21, Owosso, MI 48867Office #80: Atrium One 900 Victors Way, Suite 150, Ann Arbor, MI, 48108Office #81: 3825 Maine St, Quincy, IL 62305Office #82: 1549 Mchenry Avenue Suite A, Modesto, CA 95350Office #83: 139 South Old Woodward, Birmingham, MI 48009Office #84: 4097 Hollywood Road, St. Joseph, MI 49085Office #85: 173 W Fourth St, Waterloo, IA 50701-5401Office #86: 600 Country Club View Suite 5, Edwardsville, IL 62025Office #87: 250 Pearl Street - 2nd Floor Grand Rapids Downtown, Grand Rapids, MI 49503Office #88: 102 South Broadway Suite 300, Rochester, MN 55904-6522Office #89: Snake River Landing 900 Pier View Drive Suite 102, Idaho Falls, ID, 83402Office #90: 2342 Technology Drive Suite 300, O'fallon, MO 63368Office #91: 4380 N Campbell Avenue Suite 201, Tucson, AZ 85718Office #92: 33 Lono Avenue Suite 100, Kahului, HI 96732Office #93: 39533 Woodward Avenue Suite 210, Bloomfield Hills, MI 48304Office #94: 2770 Biddle Road, Medford, OR 97504Office #95: 515 Grand Avenue, Ames, IA 50010Office #96: 8182 Maryland Ave. 10th Floor, Clayton, MO 63105Office #97: 600 Main Street, Ferndale, CA 95536Office #98: 475 Regency Park Suite 250, O'fallon, IL 62269Office #99: 14275 Golf Course Drive, Suite 100 Pob 2946, Baxter, MN 56425Office #100: 2605 N. Main, Mitchell, SD 57301-1955Office #101: 1000 Town Center Dr. Suite 450, Oxnard, CA 93030Office #102: 804 South Street Suite #2, Rapid City, SD 57701Office #103: 2401 W. Trevi Place Suite 101, Sioux Falls, SD 57108Office #104: 217 East Caldwell, Visalia, CA 93277Office #105: 1170 Wall Street, Jacksonville, IL 62650Office #106: 13640 Bowman Lane, Auburn, CA 95603Office #107: 5060 California Avenue Suite 1140, Bakersfield, CA 93309Office #108: 1125 South 103rd Street, One Pacific Place, Omaha, NE 68124Office #109: 117 6th Street South, Unit 7 Pob 1237, Walker, MN 56484Office #110: 130 Lincoln Avenue 2nd Floor, Santa Fe, NM 87501Office #111: 4400 Sonoma Ranch Blvd. Suite D, Las Cruces, NM 88011Office #112: 99 E. 8th Street 4th Floor, Holland, MI 49423Office #113: 111 N. Main 3rd Floor, Suite B Pob 5389, Ketchum, ID, 83340Office #114: 74245 Highway 111 Suite 200, Palm Desert, CA 92260Office #115: 2021 S. Lindbergh Blvd. 3rd Floor, Frontenac, MO 63131Office #116: 5400 Gateway Center Suite A, Flint, MI 48507Office #117: 2021 S. Lindbergh Blvd., Frontenac, MO 63131Office #118: 17000 Kercheval Avenue Suite 240, Grosse Pointe, MI 48230Office #119: 3554 Round Barn Blvd Suite 200, Santa Rosa, CA 95403Office #120: 1830 3rd Avenue East Suite 101, Kalispell, MT 59901Office #121: Gateway Plaza 300 North Lake Avenue Suite 900, Pasadena, CA, 91101Office #122: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104Office #123: 520 Newport Center Drive Suite 1500, Newport Beach, CA 92660Office #124: 70 West Madison Street Suite 2500, Chicago, IL 60602Office #125: 7112 N. Fresno Street 180, Fresno, CA 93720Office #126: 25220 Hancock Ave Suite 300, Murrieta, CA 92562Office #127: 3704 Oakwood Hills Pkwy 1st Floor, Eau Claire, WI 54701Office #128: 10400 Ne 4th Street, Suite 2000, Bellevue, WA 98004Office #129: 2701 Park Marina Drive 2nd Floor, Redding, CA 96001Office #130: One North Wacker Suite 3400, Chicago, IL 60606

RIA

BD

CRD#: 793

Portage, MI

Current

June 26, 2024 - Present

STIFEL INDEPENDENT ADVISORS, LLC

Office #1: 501 North Broadway, St. Louis, MO 63102

RIA

BD

CRD#: 28218

ST. LOUIS, MO

Current

July 21, 1993 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 950 Trade Center Way Suite 305, Portage, MI 49002Office #2: 5500 Wayzata Boulevard Suite 400, Golden Valley, MN 55416Office #3: 121 Sw Morrison Suite 1800, Portland, OR 97204Office #4: 304 E 5th St Pob 2008, Storm Lake, IA 50588-2312Office #5: 5780 Fleet Street, Suite 250, Carlsbad, CA 92008Office #6: 5181 Cascade Road Se, Grand Rapids, MI 49546Office #7: 8182 Maryland Ave. 1st Floor, Clayton, MO 63105Office #8: 3590 S. Okemos Road, Okemos, MI 48864Office #9: 14850 North Scottsdale Road Suite 450, Scottsdale, AZ 85254Office #10: 2801 East Camelback Road, Phoenix, AZ 85016Office #11: 8555 Executive Woods Dr. Suite 300, Lincoln, NE 68512Office #12: 16870 West Bernardo Drive Suite 150, San Diego, CA 92127Office #13: 1249 W. Liebau Road, Suite 250, Mequon, WI 53092Office #14: 875 Harmon Stream Blvd Suite 200, Bozeman, MT 59718Office #15: 550 S Winchester Blvd Suite 500, San Jose, CA 95128Office #16: 400 Spectrum Center Drive, Irvine, CA 92618Office #17: 3075 Townsgate Road Suite 300, Westlake Village, CA 91361Office #18: 701 East Lake Street, Wayzata, MN 55391Office #19: Riverview Tower 2100 Northwest Blvd Suite 390, Coeur D'alene, ID 83814Office #20: 901 Bruce Road, Chico, CA 95928Office #21: 27201 Puerta Real Suite 350, Mission Viejo, CA 92691Office #22: 1010 West St. Germain St. Suite 400, St. Cloud, MN 56302Office #23: 321 East 2nd Street 1st & 2nd Floor, Rochester, MI 48307Office #24: 875 Main Street Nw, Bourbonnais, IL 60914Office #25: 500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA 94596Office #26: 401 North 31st Street Suite 1610, Billings, MT 59101Office #27: 520 Maryville Centre Drive Suite 410, St Louis, MO 63141Office #28: One Fifth Street Suite 300, Wenatchee, WA 98801Office #29: 150 S. Mckinley Street, Casper, WY 82601Office #30: 800 West Main Street Suite 1260 (12th Floor), Boise, ID 83702Office #31: 10310 Orland Parkway, Suite 104, Orland Park, IL 60467Office #32: 1430 Military Street Suite #2, Port Huron, MI 48060Office #33: W233 N2080 Ridgeview Pkw Suite 202, Waukesha, WI 53188Office #34: 201 West North River Drive Suite 200, Spokane, WA 99201Office #35: 10100 Trinity Parkway Suite 320, Stockton, CA 95219Office #36: 595 S 60th Street Suite 260, West Des Moines, IA 50266Office #37: 1400 West Century Avenue P.o.b 1238, 58502-9955, Bismarck, ND 58503Office #38: 3751 South Columbia Road, Building A P O B 14376, 58208-9902, Grand Forks, ND 58201Office #39: 24591 Silver Cloud Ct. Suite 250, Monterey, CA 93940Office #40: 501 N. Broadway, St. Louis, MO 63102Office #41: 415 N. Franklin, Decatur, IL 62523Office #42: 263 Shuman Blvd. Suite 130, Naperville, IL 60563Office #43: 4321 W. College Ave, Berbee Building, Appleton, WI 54914Office #44: 50 W. Liberty Suite 100, Reno, NV 89501Office #45: 300 Park Drive South, Great Falls, MT 59405-1819Office #46: 202 East State Street Suite 300, Traverse City, MI 49684Office #47: 909 A Street, Tacoma, WA 98402Office #48: 125 E. Water Street, West Bend, WI 53095Office #49: 2010 Caton Way Sw Percival Bldg. 11-suite101, Olympia, WA 98502Office #50: 111 South 2nd Street Suite 110, Mankato, MN 56001Office #51: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067Office #52: 4460 Broad Street Suite 210, San Luis Obispo, CA 93401Office #53: 31 W. Stuart Avenue Suite 200, Redlands, CA 92374Office #58: 2501 W Beltline Highway Suite 401, Madison, WI 53713Office #59: 440 West Main Street Suite 200, Brighton, MI 48116Office #60: 1420 Rocky Ridge Drive, Roseville, CA 95661Office #61: 400 Gold Circle Suite 220, Dakota Dunes, SD 57049Office #62: 10 East Courtney Street, Rhinelander, WI 54501Office #63: One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034Office #64: 201 Main Street, La Crosse, WI 54601Office #65: 206 East Anapamu Street, Santa Barbara, CA 93101Office #66: 404 Sierra College Drive, Grass Valley, CA 95945Office #67: 1305 Shapiro Drive, Festus, MO 63028Office #68: 415 Rodd Street Suite 1, Midland, MI 48640Office #69: 11201 North Port Washington Road (south), Mequon, WI 53092Office #70: 51 Coffeen Avenue Suite 102, Sheridan, WY 82801-3642Office #71: 100 North Field Drive, Suite 340, Lake Forest, IL 60045Office #72: One South Harbor Avenue, Grand Haven, MI 49417Office #73: 3201 W White Oaks Drive Suite 102, Springfield, IL 62704Office #74: 1099 Alakea Street Suite 1510, Honolulu, HI 96813Office #75: 200 S. Washington Street River Walk Plaza, Green Bay, WI 54301Office #76: 18000 West Sarah Lane Suite 180, Brookfield, WI 53045Office #77: 1174 Cornucopia Street Nw Suite 230, Salem, OR 97304Office #78: 1337 Vine Street, Paso Robles, CA 93446Office #79: 1865 East M 21, Owosso, MI 48867Office #80: Atrium One 900 Victors Way, Suite 150, Ann Arbor, MI, 48108Office #81: 3825 Maine St, Quincy, IL 62305Office #82: 1549 Mchenry Avenue Suite A, Modesto, CA 95350Office #83: 139 South Old Woodward, Birmingham, MI 48009Office #84: 4097 Hollywood Road, St. Joseph, MI 49085Office #85: 173 W Fourth St, Waterloo, IA 50701-5401Office #86: 600 Country Club View Suite 5, Edwardsville, IL 62025Office #87: 250 Pearl Street - 2nd Floor Grand Rapids Downtown, Grand Rapids, MI 49503Office #88: 102 South Broadway Suite 300, Rochester, MN 55904-6522Office #89: Snake River Landing 900 Pier View Drive Suite 102, Idaho Falls, ID, 83402Office #90: 2342 Technology Drive Suite 300, O'fallon, MO 63368Office #91: 4380 N Campbell Avenue Suite 201, Tucson, AZ 85718Office #92: 33 Lono Avenue Suite 100, Kahului, HI 96732Office #93: 39533 Woodward Avenue Suite 210, Bloomfield Hills, MI 48304Office #94: 2770 Biddle Road, Medford, OR 97504Office #95: 515 Grand Avenue, Ames, IA 50010Office #96: 8182 Maryland Ave. 10th Floor, Clayton, MO 63105Office #97: 600 Main Street, Ferndale, CA 95536Office #98: 475 Regency Park Suite 250, O'fallon, IL 62269Office #99: 14275 Golf Course Drive, Suite 100 Pob 2946, Baxter, MN 56425Office #100: 2605 N. Main, Mitchell, SD 57301-1955Office #101: 1000 Town Center Dr. Suite 450, Oxnard, CA 93030Office #102: 804 South Street Suite #2, Rapid City, SD 57701Office #103: 2401 W. Trevi Place Suite 101, Sioux Falls, SD 57108Office #104: 217 East Caldwell, Visalia, CA 93277Office #105: 1170 Wall Street, Jacksonville, IL 62650Office #106: 13640 Bowman Lane, Auburn, CA 95603Office #107: 5060 California Avenue Suite 1140, Bakersfield, CA 93309Office #108: 1125 South 103rd Street, One Pacific Place, Omaha, NE 68124Office #109: 117 6th Street South, Unit 7 Pob 1237, Walker, MN 56484Office #110: 130 Lincoln Avenue 2nd Floor, Santa Fe, NM 87501Office #111: 4400 Sonoma Ranch Blvd. Suite D, Las Cruces, NM 88011Office #112: 99 E. 8th Street 4th Floor, Holland, MI 49423Office #113: 111 N. Main 3rd Floor, Suite B Pob 5389, Ketchum, ID, 83340Office #114: 74245 Highway 111 Suite 200, Palm Desert, CA 92260Office #115: 2021 S. Lindbergh Blvd. 3rd Floor, Frontenac, MO 63131Office #116: 5400 Gateway Center Suite A, Flint, MI 48507Office #117: 2021 S. Lindbergh Blvd., Frontenac, MO 63131Office #118: 17000 Kercheval Avenue Suite 240, Grosse Pointe, MI 48230Office #119: 3554 Round Barn Blvd Suite 200, Santa Rosa, CA 95403Office #120: 1830 3rd Avenue East Suite 101, Kalispell, MT 59901Office #121: Gateway Plaza 300 North Lake Avenue Suite 900, Pasadena, CA, 91101Office #122: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104Office #123: 520 Newport Center Drive Suite 1500, Newport Beach, CA 92660Office #124: 70 West Madison Street Suite 2500, Chicago, IL 60602Office #125: 7112 N. Fresno Street 180, Fresno, CA 93720Office #126: 25220 Hancock Ave Suite 300, Murrieta, CA 92562Office #127: 3704 Oakwood Hills Pkwy 1st Floor, Eau Claire, WI 54701Office #128: 10400 Ne 4th Street, Suite 2000, Bellevue, WA 98004Office #129: 2701 Park Marina Drive 2nd Floor, Redding, CA 96001Office #130: One North Wacker Suite 3400, Chicago, IL 60606

RIA

BD

CRD#: 793

Portage, MI

Current

September 28, 2006 - Present

STIFEL INDEPENDENT ADVISORS, LLC

Office #1: 501 North Broadway, St. Louis, MO 63102

RIA

BD

CRD#: 28218

ST. LOUIS, MO

Current

March 12, 2019 - Present

KEEFE, BRUYETTE & WOODS, INC.

Office #1: 501 N. Broadway, St. Louis, MO 63102

BD

CRD#: 481

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Alabama
(8/31/2009)

RR

Alaska
(2/10/2010)

RR

Arizona
(7/23/2009)

RR

Arkansas
(2/10/2010)

RR

California
(4/6/2004)

RR

Colorado
(6/17/1999)

RR

Connecticut
(8/12/2004)

RR

Delaware
(5/3/2006)

RR

District of Columbia
(2/10/2010)

RR

Florida
(4/28/2004)

IAR

Florida
(2/12/2009)

RR

Georgia
(2/10/2010)

RR

Hawaii
(2/10/2010)

RR

Idaho
(2/10/2010)

RR

Illinois
(7/21/1993)

IAR

Illinois
(7/1/2024)

RR

Indiana
(8/31/2009)

RR

Iowa
(5/3/2005)

RR

Kansas
(7/22/2004)

RR

Kentucky
(2/10/2010)

RR

Louisiana
(8/31/2009)

RR

Maine
(2/10/2010)

RR

Maryland
(1/28/2003)

RR

Massachusetts
(8/26/2008)

RR

Michigan
(2/10/2010)

RR

Minnesota
(8/31/2009)

RR

Mississippi
(8/31/2009)

RR

Missouri
(7/21/1993)

IAR

Missouri
(1/3/2000)

RR

Montana
(2/10/2010)

RR

Nebraska
(2/10/2010)

RR

Nevada
(2/10/2010)

RR

New Hampshire
(4/11/2005)

RR

New Jersey
(8/12/2004)

RR

New Mexico
(2/10/2010)

RR

New York
(7/17/2000)

RR

North Carolina
(9/1/2009)

RR

North Dakota
(8/31/2009)

RR

Ohio
(6/18/2008)

RR

Oklahoma
(8/12/2004)

RR

Oregon
(12/12/2002)

RR

Pennsylvania
(1/27/2006)

RR

Puerto Rico
(2/10/2010)

RR

Rhode Island
(12/18/2002)

RR

South Carolina
(8/31/2009)

RR

South Dakota
(2/10/2010)

RR

Tennessee
(2/10/2010)

RR

Texas
(8/8/2003)

IAR

Texas
(1/27/2025)

RR

Utah
(1/3/2006)

RR

Vermont
(8/31/2009)

RR

Virgin Islands
(2/10/2010)

RR

Virginia
(7/18/2003)

RR

Washington
(7/7/2005)

RR

West Virginia
(2/10/2010)

RR

Wisconsin
(10/18/2005)

RR

Wyoming
(2/10/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/23/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 7/1/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/18/1993

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 10

Date: 5/19/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

RR

Series 9

Date: 5/19/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

RR

Cboe BYX Exchange, Inc.

SRO Registrations

RR

Cboe BZX Exchange, Inc.

SRO Registrations

RR

Cboe EDGA Exchange, Inc.

SRO Registrations

RR

Cboe EDGX Exchange, Inc.

SRO Registrations

RR

FINRA

SRO Registrations

RR

Investors' Exchange LLC

SRO Registrations

RR

NYSE American LLC

SRO Registrations

RR

NYSE Texas, Inc.

SRO Registrations

RR

Nasdaq ISE, LLC

SRO Registrations

RR

Nasdaq PHLX LLC

SRO Registrations

RR

Nasdaq Stock Market

SRO Registrations

RR

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

501 North Broadway, St Louis, MO 63102

Mailing Address

501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-2000

Established

Missouri since 02/20/1900

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

6,464

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
AYD, PAUL JOSEPH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2963853
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP	4696103
BROOKS, PATRICK RODGERS	ROSFP - CAPITAL MARKETS	2223412
DODSON, CHARLES EDWARD	CCO ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL, SECRETARY	4970942
HYDE, GINA ELIZABETH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2812751
KRUSZEWSKI, RONALD JAMES	PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD	1434827
MELINGER, ADAM SCOTT	ROSFP - PCG	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
RAYMOND, CHARLES BRADFORD GREEN	CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY	2796106
SCHRICK, FREDERICK RICHARD	PRINCIPAL FINANCIAL OFFICER	5636488
SLINEY, DAVID DEAN	SENIOR VICE PRESIDENT & DIRECTOR	2276514
ZEMLYAK, JAMES MARK	EXECUTIVE VICE PRESIDENT & DIRECTOR	1586132

Regulatory assets under management

Total Number of Accounts	368,405
AUM (Assets Under Management)	$ 171,209,609,487

Disclosures

Regulatory Event	168
Civil Event	2
Arbitration	60
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
12/19/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Sherri L. Kramer

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Certified licenses

Experience

STIFEL INDEPENDENT ADVISORS, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL INDEPENDENT ADVISORS, LLC

KEEFE, BRUYETTE & WOODS, INC.

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/2006

Series 63

Date: 7/1/1993

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1993

Series 10

Date: 5/19/2000

Series 9

Date: 5/19/2000

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Texas, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

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