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., Stifel Independent Advisors, LLC, and Miller Buckfire & Co., LLC, 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 authorised and regulated by the 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, Stifel Europe Bank AG is regulated by the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, or BaFin). Stifel Schweiz AG, which is a representative of Stifel Europe Bank AG in Switzerland, is regulated by the Eidgenössische Finanzmarktaufsicht (FINMA). Stifel Europe Bank AG’s Milan Branch is authorized and regulated by BaFin and supervised by CONSOB/Bank of Italy, its Paris Branch is authorized and regulated by BaFin and supervised by Autorité des marchés financiers (AMF)/Autorité de Contrôle Prudentiel (ACPR), and its Madrid Branch is authorized and regulated by BaFin and supervised by the National Securities Market Commission (CNMV). In Geneva, Stifel maintains Stifel Europe Geneva S.A., a wholly owned representative office of Stifel Nicolaus Europe Limited in Switzerland. 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 FirstEnergy.” 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 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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