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.