January 21, 2017 5:56 AM 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. The company was founded in 1890 and is based 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





Key Executives for Stifel, Nicolaus & Company, Incorporated

Chairman of The Board, Chief Executive Officer and President
Age: 57
Managing Director and Senior Vice President
Managing Director
Chief Financial Officer, Co-Chief Operating Officer, Executive Vice President and Member of The Board of Directors
Age: 57
Co-Head of Investment Banking, Managing Director and Member of The Board of Directors
Compensation as of Fiscal Year 2016.

Stifel, Nicolaus & Company, Incorporated Key Developments

Stifel Financial Corp. and Stifel Nicolaus &Company, Incorporated Reaches Settlement of Two Civil Lawsuits

Stifel Financial Corp. announced that it and its subsidiary, Stifel Nicolaus &Company, Incorporated (‘Stifel Nicolaus’), have reached a settlement of two civil lawsuits that relate to the sale of collateralized debt obligations investments to five Southeastern Wisconsin school districts in 2006. These settlements resolve all pending litigation related to this subject matter. The first matter is a civil lawsuit filed against Stifel Nicolaus by the Securities and Exchange Commission ("SEC") in U.S. District Court for the Eastern District of Wisconsin on August 10, 2011. The second matter is a civil lawsuit in the Circuit Court of Milwaukee, Wisconsin, filed on September 29, 2008, between Royal Bank of Canada Europe Ltd., on the one hand, and Stifel Financial, Stifel Nicolaus and the five Southeastern Wisconsin school districts, on the other hand. In early 2012, Stifel and the school districts previously reached a settlement that resolved the school districts' direct claims against Stifel. Stifel does not anticipate the settlement will have an impact on its pre-tax results in the fourth quarter of 2016, as Stifel has adequately reserved for the cost of settlement. However, as disclosed in Stifel's third quarter 2016 10-Q filing, the settlement with the SEC is not deductible for tax purposes and they anticipate Stifel's provision for income taxes in the fourth quarter of 2016 to be negatively impacted by approximately $9 million.

Stifel, Nicolaus & Company, Incorporated Presents at Beverage-Digest Future Smarts Conference, Dec-09-2016

Stifel, Nicolaus & Company, Incorporated Presents at Beverage-Digest Future Smarts Conference, Dec-09-2016 . Venue: Crowne Plaza Times Square, Manhattan, NY, United States.

Stifel, Nicolaus & Company, Incorporated Presents at Capital Link's New York Maritime Forum, Sep-13-2016

Stifel, Nicolaus & Company, Incorporated Presents at Capital Link's New York Maritime Forum, Sep-13-2016. Venue: Metropolitan Club, One East 60th Street, New York, NY 10022-1054, United States. Presentation Date & Speakers: Sep-13-2016, Adam Vore, Investment Banking, Managing Director, Ben Nolan, Director, Shipping Research.

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