CRD #793 · FINRA BrokerCheck + SEC IAPD

Stifel, Nicolaus & Company, Incorporated

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Stifel, Nicolaus & Company, Incorporated ranks #21 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #3 of 36 on the same disclosure sort used on the state browse page. Stifel, Nicolaus & Company, Incorporated carries 251 BrokerCheck disclosures across 757 branch offices - moderate load for a large firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
757
branch offices
251
disclosures
#21 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 793 Stifel, Nicolaus & Company, Incorporated

Stifel, Nicolaus & Company, Incorporated · Grade C · 251 disc · 0.33/office · Large firm

  • CRD 793
  • GRADE C
  • DISC 251
  • REG 188
  • ARB 61
  • CIV 2
  • BRANCH 757
  • PER-OFF 0.33
  • RANK #21 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: HSBC Securities (USA) Inc. (0.33 disc/office)

HSBC Securities (USA) Inc.0.33Vanguard Marketing Corp…0.34Berthel, Fisher & Compa…0.22Stifel, Nicolaus & … (this)0.33
Disclosures per office among large firm peers (lower is cleaner)

Stifel, Nicolaus & Company, Incorporated ranks #21 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.33 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

757 offices

FINRA: Large firm

Total disclosures

251 events

On FINRA BrokerCheck

Regulatory events

188 actions

75% of all disclosures

Disclosures per office

0.33 per office

251 ÷ 757 offices

Stifel, Nicolaus & Company, Incorporated vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 71% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 188
Arbitrations 61
Civil Events 2
Total 251

Counts for Stifel, Nicolaus & Company, Incorporated reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 188 Arbitration 61 Civil 2

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
St. Louis, MO
CRD Number
793

Regulator-heavy mix

Stifel, Nicolaus & Company, Incorporated in the heavier-disclosure third

Stifel, Nicolaus & Company, Incorporated carries 251 BrokerCheck disclosures across 757 branch offices - a heavier-third raw book among graded firms (#21 of 20,055). Regulator-initiated events are 75% of the book (188 regulatory / 61 arbitration / 2 civil).

75% of Stifel, Nicolaus & Company, Incorporated's 251 disclosures are regulator-initiated (188 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Stifel, Nicolaus & Company, Incorporated's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Missouri cohort · 7.31× state average

Stifel, Nicolaus & Company, Incorporated sits above the Missouri disclosure average

Stifel, Nicolaus & Company, Incorporated reports 251 BrokerCheck disclosures, 7.31× the Missouri average of 34.3 across 36 graded firms with a principal-office state on file.

In Missouri, 9 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Missouri state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Stifel, Nicolaus & Company, Incorporated sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Stifel, Nicolaus & Company, Incorporated ranks #21 of 20,055 by disclosure count (most disclosures first). Among firms registered in MO, it ranks #3 of 36 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Stifel, Nicolaus & Company, Incorporated?
A grade of C reflects Stifel, Nicolaus & Company, Incorporated's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 251 total disclosures across 757 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Stifel, Nicolaus & Company, Incorporated have?
Stifel, Nicolaus & Company, Incorporated has 251 total FINRA disclosures, including 188 regulatory events, 61 arbitrations, 2 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Stifel, Nicolaus & Company, Incorporated?
Stifel, Nicolaus & Company, Incorporated operates 757 branch offices and is classified by FINRA as a large firm, registered in MO (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Stifel, Nicolaus & Company, Incorporated's disciplinary record?
You can verify Stifel, Nicolaus & Company, Incorporated's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 793. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Stifel, Nicolaus & Company, Incorporated's 251 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Stifel, Nicolaus & Company, Incorporated because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Stifel, Nicolaus & Company, Incorporated carries 251 disclosures across 757 branch offices (about 0.33 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Stifel, Nicolaus & Company, Incorporated, both outside MO so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.