Stifel Financial Corp. (“Stifel” or the “Company”) is a financial services holding company headquartered in St. Louis, Missouri, that conducts its banking, securities, and financial services business through several wholly owned subsidiaries. Stifel’s broker-dealer clients are served in the United States through Stifel, Nicolaus & Company, Incorporated, including its Eaton Partners business division, Keefe, Bruyette & Woods, Inc., Century Securities Associates, Inc., Miller Buckfire & Co., LLC, and MainFirst Securities US Inc., each of which is a broker-dealer registered with the SEC and members of FINRA. Stifel Financial Corp. has the following non-U.S. subsidiaries. In the United Kingdom, Stifel Nicolaus Europe Limited is authorized and regulated by the United Kingdom Financial Conduct Authority (“FCA”) (FRN 190412) and is a member of the London Stock Exchange and also trades under the name Keefe, Bruyette & Woods Europe. In Germany, MainFirst Bank AG is regulated by the German Federal Financial Services Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, or BaFin), as well as MainFirst Schweiz AG, which is regulated by the Eidgenössische Finanzmarktaufsicht (FINMA). MainFirst Bank AG’s London Branch is authorized by BaFin and supervised by the Financial Conduct Authority for the conduct of UK business, its Milan Branch is authorized and regulated by BaFin and supervised by CONSOB/Bank of Italy, and its Paris Branch is authorized and regulated by BaFin and supervised by AMP/Autorité de Contrôle Prudentiel. In Geneva, Stifel maintains Stifel Europe Geneva S.A. In Canada, Stifel Nicolaus Canada Inc. is authorized and regulated by Investment Industry Regulatory Organization of Canada (IIROC) and also trades under the names “Stifel GMP” and “Stifel First Energy.” The Company’s broker-dealer affiliates provide securities brokerage, investment banking, trading, investment advisory, and related financial services to individual investors, professional money managers, businesses, and municipalities. Stifel Bank and Stifel Bank & Trust offer a full range of consumer and commercial lending solutions. Stifel Trust Company, N.A. and Stifel Trust Company Delaware, N.A. offer trust and related services.
EquityCompass Strategies Investment Management, LLC, 1919 Investment Counsel, LLC, and Washington Crossing Advisors, LLC are affiliated stand-alone asset managers that provide investment management and services to institutions and individuals over a breadth of asset classes.
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