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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Stifel Financial Corp. - Preferred Stock
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 28, 2025 |
Stifel Reports July 2025 Operating Data EX-99.1 Stifel Reports July 2025 Operating Data ST. LOUIS, MO, August 28, 2025 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for July 31, 2025, to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, Chairman and Chief Exec |
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| August 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 28, 2025 STIFEL FINANCIAL CORP. |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2025 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FIN |
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| July 30, 2025 |
Stifel Reports Second Quarter 2025 Results EX-99.1 Exhibit 99.1 Stifel Reports Second Quarter 2025 Results ST. LOUIS, MO, July 30, 2025 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.3 billion for the three months ended June 30, 2025, compared with $1.2 billion a year ago. Net income available to common shareholders was $145.7 million, or $1.34 per diluted common share, compared with $156.0 million, or $1.41 per dilu |
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| July 30, 2025 |
EX-99.2 Exhibit 99.2 Second Quarter 2025 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Man |
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| July 30, 2025 |
EX-99.3 Second Quarter 2025 Financial Results Presentation July 30, 2025 Exhibit 99.3 Highest Second Quarter Net Revenue Second Quarter Snapshot 2Q25 Results millions, except per share and ratios HIGHLIGHTS NET REVENUE 2Q25: GAAP & NON-GAAP $1,284 YTD: GAAP & NON-GAAP $2,540 ANNUALIZED ROTCE* 2Q25:GAAP 17.0% & NON-GAAP 21.7% YTD: GAAP 10.9% & NON-GAAP 13.8% BOOK VALUE PER SHARE TBV $33.30 BV $48.0 |
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| July 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2025 STIFEL FINANCIAL CORP. |
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| June 26, 2025 |
Stifel Reports May 2025 Operating Data Stifel Reports May 2025 Operating Data ST. LOUIS, MO, June 26, 2025 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for May 31, 2025 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, Chairman and Chief Exec |
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| June 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 26, 2025 STIFEL FINANCIAL CORP. |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K (Mark One) Annual report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2024 OR Transition report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 A. |
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| June 11, 2025 |
EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE STIFEL ANNOUNCES VICTOR NESI TO RETIRE AS CO-PRESIDENT AND HEAD OF INSTITUTIONAL GROUP; JOINS BOARD OF DIRECTORS ST. LOUIS, June 11, 2025 – Stifel Financial Corp. (NYSE: SF) today announced that Victor Nesi, Co-President and Head of the Institutional Group, will retire from his day-to-day operating responsibilities effective July 1, 2025, after 16 years o |
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| June 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2025 STIFEL FINANCIAL CORP. |
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| June 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2025 STIFEL FINANCIAL CORP. |
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| May 22, 2025 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2025 STIFEL FINANCIAL CORP. |
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| May 22, 2025 |
Stifel Reports April 2025 Operating Data Stifel Reports April 2025 Operating Data ST. LOUIS, MO, May 22, 2025 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for April 30, 2025 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, Chairman and Chief E |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2025 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FI |
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| April 25, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 25, 2025 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definit |
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| April 23, 2025 |
Stifel Reports First Quarter 2025 Results Exhibit 99.1 Stifel Reports First Quarter 2025 Results ST. LOUIS, MO, April 23, 2025 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.26 billion for the three months ended March 31, 2025, compared with $1.16 billion a year ago. Net income available to common shareholders was $43.7 million, or $0.39 per diluted common share, compared with $154.3 million, or $1.40 per diluted co |
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| April 23, 2025 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 23, 2025 STIFEL FINANCIAL CORP. |
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| April 23, 2025 |
Exhibit 99.3 First Quarter 2025 Financial Results Presentation April 23, 2025 Quarterly Earnings Report First Quarter Snapshot 1Q25 RESULTS millions, except per share and ratios NET REVENUE NET EARNINGS EPS 1Q25: GAAP & NON-GAAP $1,255 1Q25: GAAP $0.39 & NON-GAAP $0.49 1Q25: GAAP $44 & NON-GAAP $54 BOOK VALUE PER SHARE ANNUALIZED ROTCE* ANNUALIZED ROCE TBV $33.31 BV $47.08 1Q25:GAAP 3.5% & NON-GAA |
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| April 23, 2025 |
First Quarter 2025 Earnings Results Exhibit 99.2 First Quarter 2025 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Management |
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| March 27, 2025 |
Stifel Reports February 2025 Operating Data Exhibit 99.1 Stifel Reports February 2025 Operating Data ST. LOUIS, MO, March 27, 2025 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for February 28, 2025 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, |
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| March 27, 2025 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 27, 2025 STIFEL FINANCIAL CORP. |
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| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2025 STIFEL FINANCIAL CORP. |
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| March 20, 2025 |
Letter from Ernst & Young LLP dated March 20, 2025. Exhibit 16.1 March 20, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read Item 4.01 of Form 8-K dated March 20, 2025, of Stifel Financial Corp. and are in agreement with the statements contained in the paragraphs 2 through 4 therein. We have no basis to agree or disagree with other statements of the registrant contained therein. /s/ Ernst & |
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| March 13, 2025 |
STIFEL RECEIVES ADVERSE FINRA ARBITRATION AWARD, PLANS TO SEEK JUDICIAL REVIEW EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE STIFEL RECEIVES ADVERSE FINRA ARBITRATION AWARD, PLANS TO SEEK JUDICIAL REVIEW ST. LOUIS, March 13, 2025 – Stifel Financial Corp. (NYSE: SF) notes that a FINRA arbitration panel yesterday ordered its subsidiary Stifel, Nicolaus & Company, Incorporated to pay approximately $132 million, inclusive of punitive damages and attorneys’ fees, in connection with |
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| March 13, 2025 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 12, 2025 STIFEL FINANCIAL CORP. |
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| February 27, 2025 |
Stifel Reports January 2025 Operating Data EX-99.1 Exhibit 99.1 Stifel Reports January 2025 Operating Data ST. LOUIS, MO, February 27, 2025 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for January 31, 2025 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kr |
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| February 27, 2025 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2025 STIFEL FINANCIAL CORP. |
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| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FINANCI |
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| February 26, 2025 |
List of Subsidiaries of Stifel Financial Corp., filed herewith. Exhibit 21 Stifel Financial Corp. List of Subsidiaries Subsidiary Legal Name* Jurisdiction of Incorporation Stifel Financial Corp. Delaware Stifel, Nicolaus & Company, Incorporated Missouri KCP Fund General Partner LLC Delaware Stifel Nicolaus Insurance Agency, Incorporated Missouri Stifel Nicolaus Israel Ltd. Israel Thomas Weisel Capital Management LLC Delaware Thomas Weisel Strategic Opportuniti |
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| February 26, 2025 |
Exhibit 4.11 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2024, Stifel Financial Corp. (the “Company,” “we,” “us” or “our”) had five classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (1) our common stock, par value $0.15 per share (“Comm |
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| February 26, 2025 |
Stifel Financial Corp. Code of Business Conduct and Ethics, filed herewith. Exhibit 14 STIFEL FINANCIAL CORP. CODE OF BUSINESS CONDUCT AND ETHICS MAY 2024 TABLE OF CONTENTS I. SCOPE 1 II. GENERAL PRINCIPLES 1 III. STANDARDS OF BUSINESS CONDUCT 2 A. Compliance With Laws and Regulations 2 B. Description of Stifel Conflicts of Interest Policy 2 1. Statement of Principle & Objective 2 2. Identification of Conflicts 2 3. Personal Conflict of Interest 3 4. Illustrative Types of |
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| February 7, 2025 |
Stifel Financial Corp. Wealth Accumulation Plan (2025 Restatement) Exhibit 10.1 STIFEL FINANCIAL CORP. WEALTH ACCUMULATION PLAN 2025 RESTATEMENT ARTICLE I –INTRODUCTION 1.1. Introduction. Effective February 4, 2019, the Plan was amended and completely restated. The Plan is amended and completely restated again effective February 4, 2025 pursuant to the terms of this document. All amounts accrued under the Plan shall be distributed under the terms of the Plan as i |
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| February 7, 2025 |
Restricted Stock Unit Award Agreement (Performance RSUs) Exhibit 10.2 STIFEL FINANCIAL CORP. RESTRICTED STOCK UNIT AWARD AGREEMENT (Performance RSUs) Stifel Financial Corp., a Delaware corporation (the “Corporation”), hereby grants to the participant identified in the Schedule (the “Participant”) this award of restricted stock units (“RSUs”) pursuant to the Stifel Financial Corp. 2001 Incentive Stock Plan (2018 Restatement) as may be amended or restated |
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| February 7, 2025 |
Exhibit 10.3 STIFEL FINANCIAL CORP. DEFERRED AWARD AGREEMENT This award agreement is between Stifel Financial Corp., a Delaware corporation, including its past, present or future affiliates, subsidiaries, predecessors, successors, and parents (collectively, “Stifel” or the “Corporation”) and the identified Participant (the “Participant” or “you”). Stifel Financial Corp. hereby grants to the Partic |
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| February 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2025 STIFEL FINANCIAL CORP. |
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| January 29, 2025 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2025 STIFEL FINANCIAL CORP. |
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| January 29, 2025 |
Stifel Reports Fourth Quarter and Full Year Results Exhibit 99.1 Stifel Reports Fourth Quarter and Full Year Results ST. LOUIS, MO, January 29, 2025 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.36 billion for the three months ended December 31, 2024, compared with $1.15 billion a year ago. Net income available to common shareholders of $234.7 million, or $2.09 per diluted common share, compared with $153.2 million, or $1.38 |
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| January 29, 2025 |
Fourth Quarter and Full Year 2024 Earnings Results Exhibit 99.2 Fourth Quarter and Full Year 2024 Earnings Results Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Management |
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| January 29, 2025 |
Fourth Quarter 2024 Financial Results Presentation January 29, 2025 Exhibit 99.3 Record Net Revenue 2024 Snapshot 2024 Results millions, except per share and ratios HIGHLIGHTS NET REVENUE GAAP $4,970 NON-GAAP $4,971 PRE-TAX MARGIN GAAP 18.7% NON-GAAP 20.1% NET EARNINGS GAAP $694 NON-GAAP $756 EPS GAAP $6.25 NON-GAAP $6.81 ROCE GAAP 14.6% NON-GAAP 15.9% ROTCE* GAAP 20.9% NON-GAAP 22.7% Second Highe |
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| December 19, 2024 |
Stifel Reports November 2024 Operating Data Exhibit 99.1 Stifel Reports November 2024 Operating Data ST. LOUIS, MO, December 19, 2024 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for November 30, 2024 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszews |
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| December 19, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 19, 2024 STIFEL FINANCIAL CORP. |
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| November 21, 2024 |
Stifel Reports October 2024 Operating Data Exhibit 99.1 Stifel Reports October 2024 Operating Data ST. LOUIS, MO, November 21, 2024 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for October 31, 2024 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski |
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| November 21, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2024 STIFEL FINANCIAL CORP. |
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| November 12, 2024 |
SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4 )* Stifel Financial Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 860630102 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| November 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2024 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFE |
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| October 23, 2024 |
EX-99.3 Exhibit 99.3 Third Quarter 2024 Financial Results Presentation October 23, 2024 Quarterly Earnings Report Third Quarter Snapshot 3Q24 RESULTS millions, except per share and ratios NET REVENUE NET EARNINGS EPS 3Q24: GAAP & NON-GAAP $1,225 3Q24: GAAP $1.34 & NON-GAAP $1.50 3Q24: GAAP $159 & NON-GAAP $176 YTD: GAAP & NON-GAAP $3,606 YTD: GAAP $487 & NON-GAAP $534 YTD: GAAP $4.16 & NON-GAAP $4 |
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| October 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2024 STIFEL FINANCIAL CORP. |
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| October 23, 2024 |
Third Quarter 2024 Earnings Results Exhibit 99.2 Third Quarter 2024 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Managemen |
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| October 23, 2024 |
Stifel Reports Third Quarter 2024 Results Stifel Reports Third Quarter 2024 Results ST. LOUIS, MO, October 23, 2024 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.2 billion for the three months ended September 30, 2024, compared with $1.0 billion a year ago. Net income available to common shareholders was $149.2 million, or $1.34 per diluted common share, compared with $58.8 million, or $0.52 per diluted common shar |
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| September 26, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2024 STIFEL FINANCIAL CORP. |
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| September 26, 2024 |
Stifel Reports August 2024 Operating Data Exhibit 99.1 Stifel Reports August 2024 Operating Data ST. LOUIS, MO, September 26, 2024 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for August 31, 2024 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, |
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| August 22, 2024 |
Stifel Reports July 2024 Operating Data Exhibit 99.1 Stifel Reports July 2024 Operating Data ST. LOUIS, MO, August 22, 2024 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for July 31, 2024 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, Chairm |
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| August 22, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 22, 2024 STIFEL FINANCIAL CORP. |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2024 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FIN |
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| July 24, 2024 |
Stifel Reports Second Quarter 2024 Results Exhibit 99.1 Stifel Reports Second Quarter 2024 Results ST. LOUIS, MO, July 24, 2024 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.2 billion for the three months ended June 30, 2024, compared with $1.1 billion a year ago. Net income available to common shareholders was $156.0 million, or $1.41 per diluted common share, compared with $125.0 million, or $1.10 per diluted comm |
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| July 24, 2024 |
Second Quarter 2024 Earnings Results EX-99.2 Exhibit 99.2 Second Quarter 2024 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Manage |
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| July 24, 2024 |
Second Quarter 2024 Financial Results Presentation July 24, 2024 Exhibit 99.3 Second Highest Net Revenue Second Quarter Snapshot 2Q24 Results millions, except per share and ratios HIGHLIGHTS NET REVENUE 2Q24: GAAP & NON-GAAP $1,218 YTD: GAAP & NON-GAAP $2,381 ANNUALIZED ROTCE* 2Q24:GAAP 19.3% & NON-GAAP 21.9% YTD: GAAP 19.5% & NON-GAAP 21.4% BOOK VALUE PER SHARE TBV $32.00 BV $45.97 Ranked #1in Em |
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| July 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2024 STIFEL FINANCIAL CORP. |
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| June 27, 2024 |
Stifel Reports May 2024 Operating Data Exhibit 99.1 Stifel Reports May 2024 Operating Data ST. LOUIS, MO, June 27, 2024 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for May 31, 2024 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, Chairman a |
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| June 27, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 27, 2024 STIFEL FINANCIAL CORP. |
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| June 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K (Mark One) Annual report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2023 OR Transition report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 A. |
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| June 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2024 STIFEL FINANCIAL CORP. |
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| May 23, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2024 STIFEL FINANCIAL CORP. |
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| May 23, 2024 |
Stifel Reports April 2024 Operating Data Exhibit 99.1 Stifel Reports April 2024 Operating Data ST. LOUIS, MO, May 23, 2024 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for April 30, 2024 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, Chairma |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2024 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FI |
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| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Prox |
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| April 26, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 24, 2024 |
EX-99.3 Exhibit 99.3 First Quarter 2024 Financial Results Presentation April 24, 2024 Quarterly Earnings Report First Quarter Snapshot 1Q24 RESULTS millions, except per share and ratios NET REVENUE NET EARNINGS EPS 1Q24: GAAP & NON-GAAP $1,163 1Q24: GAAP $1.40 & NON-GAAP $1.49 1Q24: GAAP $164 & NON-GAAP $173 ANNUALIZED ROTCE* BOOK VALUE PER SHARE ANNUALIZED ROCE TBV $30.67 BV $44.71 1Q24:GAAP 13.5 |
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| April 24, 2024 |
First Quarter 2024 Earnings Results EX-99.2 Exhibit 99.2 First Quarter 2024 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Managem |
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| April 24, 2024 |
Stifel Reports First Quarter 2024 Results EX-99.1 Exhibit 99.1 Stifel Reports First Quarter 2024 Results ST. LOUIS, MO, April 24, 2024 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.2 billion for the three months ended March 31, 2024, compared with $1.1 billion a year ago. Net income available to common shareholders was $154.3 million, or $1.40 per diluted common share, compared with $148.2 million, or $1.28 per dil |
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| April 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2024 STIFEL FINANCIAL CORP. |
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| April 10, 2024 |
SF / Stifel Financial Corp. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 13)* Name of issuer: Stifel Financial Corp Title of Class of Securities: Common Stock CUSIP Number: 860630102 Date of Event Which Requires Filing of this Statement: March 28, 2024 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ |
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| March 28, 2024 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2024 STIFEL FINANCIAL CORP. |
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| March 28, 2024 |
Stifel Reports February 2024 Operating Data Exhibit 99.1 Stifel Reports February 2024 Operating Data ST. LOUIS, MO, March 28, 2024 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for February 29, 2024 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, |
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| March 8, 2024 |
Form of Restricted Cash Award Agreement Exhibit 10.1 FORM OF STIFEL NICOLAUS/KBW RESTRICTED CASH AWARD AGREEMENT [Stifel, Nicolaus & Company, Incorporated][Keefe, Bruyette & Woods, Inc.]1 ([“Stifel”] [“KBW”] or the “Corporation”) hereby advances this Cash Award (the “Cash Award”) which will be earned and vest over time, with any advanced but unearned and unvested amount subject to repayment under the terms and conditions described herei |
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| March 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2024 STIFEL FINANCIAL CORP. |
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| February 22, 2024 |
Stifel Reports January 2024 Operating Data EX-99.1 Stifel Reports January 2024 Operating Data ST. LOUIS, MO, February 22, 2024 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for January 31, 2024 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, Cha |
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| February 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2024 STIFEL FINANCIAL CORP. |
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| February 16, 2024 |
List of Subsidiaries of Stifel Financial Corp., filed herewith. Exhibit 21 Stifel Financial Corp. List of Subsidiaries Subsidiary Legal Name* Jurisdiction of Incorporation Stifel Financial Corp. Delaware Stifel, Nicolaus & Company, Incorporated Missouri KCP Fund General Partner LLC Delaware Stifel Nicolaus Insurance Agency, Incorporated Missouri Stifel Nicolaus Israel Ltd. Israel Thomas Weisel Capital Management LLC Delaware Thomas Weisel Strategic Opportuniti |
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| February 16, 2024 |
Exhibit 10.36 STIFEL FINANCIAL CORP. DEFERRED AWARD AGREEMENT This award agreement is between Stifel Financial Corp., a Delaware corporation, including its past, present or future affiliates, subsidiaries, predecessors, successors, and parents (collectively, “Stifel” or the “Corporation”) and the identified Participant (the “Participant” or “you”). Stifel Financial Corp. hereby grants to the Parti |
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| February 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FINANCI |
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| February 16, 2024 |
Stifel Financial Corp. Incentive Compensation Recovery Policy, filed herewith. Exhibit 97 STIFEL FINANCIAL CORP. INCENTIVE COMPENSATION RECOVERY POLICY (Effective as of November 14, 2023) I. Introduction The Board of Directors (the “Board”) of Stifel Financial Corp. (the “Company”) has adopted this Incentive Compensation Recovery Policy (this “Policy”) to provide for the recovery of certain executive compensation in the event of an Accounting Restatement resulting from mater |
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| February 16, 2024 |
Exhibit 4.11 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2023, Stifel Financial Corp. (the “Company,” “we,” “us” or “our”) had five classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (1) our common stock, par value $0.15 per share (“Comm |
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| February 13, 2024 |
SF / Stifel Financial Corp. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv02001-stifelfinancialcorp.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 12)* Name of issuer: Stifel Financial Corp Title of Class of Securities: Common Stock CUSIP Number: 860630102 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to d |
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| February 9, 2024 |
SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Stifel Financial Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 860630102 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
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| January 24, 2024 |
EX-99.3 Exhibit 99.3 Fourth Quarter 2024 Financial Results Presentation January 24, 2024 Quarterly Earnings Report 2023 Snapshot 2023 RESULTS millions, except per share and ratios (1) NET REVENUE PRE-TAX MARGIN NET EARNINGS GAAP & NON-GAAP $4,349 GAAP 16.2% NON-GAAP 19.2% GAAP $485 NON-GAAP $532 (1) (1) EPS ROCE ROTCE * GAAP $4.28 NON-GAAP $4.68 GAAP 10.5% NON-GAAP 12.9% GAAP 15.2% NON-GAAP 18.7% |
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| January 24, 2024 |
Stifel Reports Fourth Quarter and Full Year Results EX-99.1 Exhibit 99.1 Stifel Reports Fourth Quarter and Full Year Results ST. LOUIS, MO, January 24, 2024 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.15 billion for the three months ended December 31, 2023, compared with $1.12 billion a year ago. Net income available to common shareholders of $153.2 million, or $1.38 per diluted common share, compared with $167.3 million, |
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| January 24, 2024 |
Fourth Quarter and Full Year 2023 Earnings Results EX-99.2 Exhibit 99.2 Fourth Quarter and Full Year 2023 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global |
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| January 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2024 STIFEL FINANCIAL CORP. |
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| December 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2023 STIFEL FINANCIAL CORP. |
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| December 21, 2023 |
Stifel Reports November 2023 Operating Data EX-99.1 Stifel Reports November 2023 Operating Data ST. LOUIS, MO, December 21, 2023 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for November 30, 2023 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, C |
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| November 21, 2023 |
Stifel Reports October 2023 Operating Data Exhibit 99.1 Stifel Reports October 2023 Operating Data ST. LOUIS, MO, November 21, 2023 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for October 31, 2023 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski |
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| November 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2023 STIFEL FINANCIAL CORP. |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2023 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFE |
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| October 25, 2023 |
Stifel Reports Third Quarter 2023 Results EX-99.1 Exhibit 99.1 Stifel Reports Third Quarter 2023 Results ST. LOUIS, MO, October 25, 2023 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.0 billion for the three months ended September 30, 2023, compared with $1.0 billion a year ago. Net income available to common shareholders was $58.8 million, or $0.52 per diluted common share, compared with $141.8 million, or $1.21 pe |
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| October 25, 2023 |
Third Quarter 2023 Earnings Results EX-99.2 Exhibit 99.2 Third Quarter 2023 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Managem |
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| October 25, 2023 |
EX-99.3 Exhibit 99.3 Third Quarter 2023 Financial Results Presentation October 25, 2023 Quarterly Earnings Report Third Quarter Snapshot 3Q23 RESULTS millions, except per share and ratios NET REVENUE NET EARNINGS EPS 3Q23: GAAP & NON-GAAP $1,045 3Q23: GAAP $0.52 & NON-GAAP $0.60 3Q23: GAAP $59 & NON-GAAP $67 YTD: GAAP & NON-GAAP $3,203 YTD: GAAP $332 & NON-GAAP $365 YTD: GAAP $2.91 & NON-GAAP $3.2 |
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| October 25, 2023 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2023 STIFEL FINANCIAL CORP. |
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| September 28, 2023 |
Stifel Reports August 2023 Operating Data EX-99.1 Exhibit 99.1 Stifel Reports August 2023 Operating Data ST. LOUIS, MO, September 28, 2023 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for August 31, 2023 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kru |
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| September 28, 2023 |
EX-10.1 EXHIBIT 10.1 CREDIT AGREEMENT Dated as of September 27, 2023 among STIFEL FINANCIAL CORP. and STIFEL, NICOLAUS & COMPANY, INCORPORATED, as the Borrowers, THE GUARANTORS PARTY HERETO, THE LENDERS FROM TIME TO TIME PARTY HERETO, BANK OF AMERICA, N.A., as Administrative Agent, a Swingline Lender, and the L/C Issuer, and THE OTHER SWINGLINE LENDERS FROM TIME TO TIME PARTY HERETO Arranged By: B |
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| September 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2023 STIFEL FINANCIAL CORP. |
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| September 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2023 STIFEL FINANCIAL CORP. |
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| September 14, 2023 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Ronald J. Kruszewski and James M. Marischen, and each of them (with full power of each to act alone), severally, as his or her true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for him or her to execute in his |
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| September 14, 2023 |
As filed with the Securities and Exchange Commission on September 14, 2023 Table of Contents As filed with the Securities and Exchange Commission on September 14, 2023 Registration No. |
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| September 14, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Stifel Financial Corp. |
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| September 14, 2023 |
Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 91-1821036 I.R.S. E |
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| August 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2023 STIFEL FINANCIAL CORP. |
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| August 24, 2023 |
Stifel Reports July 2023 Operating Data EX-99.1 Exhibit 99.1 Stifel Reports July 2023 Operating Data ST. LOUIS, MO, August 24, 2023 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for July 31, 2023 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski |
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| August 11, 2023 |
EX-3.2 Exhibit 3.2 SECOND AMENDED AND RESTATED BY-LAWS OF STIFEL FINANCIAL CORP. (a Delaware corporation) (effective August 8, 2023) TABLE OF CONTENTS Page Article I Offices; Books and Records 1 Section 1.1 Offices 1 Section 1.2 Books and Records 1 Article II Stockholders 1 Section 2.1 Place of Meetings 1 Section 2.2 Annual Meetings 1 Section 2.3 Special Meetings 2 Section 2.4 Notice of Meetings 2 |
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| August 11, 2023 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2023 STIFEL FINANCIAL CORP. |
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| August 11, 2023 |
EX-3.1 Exhibit 3.1 SECOND RESTATED CERTIFICATE OF INCORPORATION OF STIFEL FINANCIAL CORP. STIFEL FINANCIAL CORP. (the “Corporation”), a corporation existing under and by virtue of the General Corporation Law of Delaware (as the same exists or may hereafter exist, as amended, the “DGCL”) does hereby certify as follows: The name of the Corporation is Stifel Financial Corp. The Corporation was organi |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2023 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FIN |
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| July 26, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2023 STIFEL FINANCIAL CORP. |
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| July 26, 2023 |
Stifel Reports Second Quarter 2023 Results EX-99.1 Exhibit 99.1 Stifel Reports Second Quarter 2023 Results ST. LOUIS, MO, July 26, 2023 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.1 billion for the three months ended June 30, 2023, compared with $1.1 billion a year ago. Net income available to common shareholders was $125.0 million, or $1.10 per diluted common share, compared with $151.5 million, or $1.29 per dilu |
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| July 26, 2023 |
EX-99.3 Exhibit 99.3 Second Quarter 2023 Financial Results Presentation July 26, 2023 Quarterly Earnings Report Second Quarter Snapshot 2Q23 RESULTS millions, except per share and ratios NET REVENUE NET EARNINGS EPS 2Q23: GAAP & NON-GAAP $1,051 2Q23: GAAP $1.10 & NON-GAAP $1.20 2Q23: GAAP $125 & NON-GAAP $136 YTD: GAAP & NON-GAAP $2,158 YTD: GAAP $273 & NON-GAAP $298 YTD: GAAP $2.38 & NON-GAAP $2. |
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| July 26, 2023 |
Second Quarter 2023 Earnings Results EX-99.2 Exhibit 99.2 Second Quarter 2023 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Manage |
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| June 22, 2023 |
Stifel Reports May 2023 Operating Data EX-99.1 Exhibit 99.1 Stifel Reports May 2023 Operating Data ST. LOUIS, MO, June 22, 2023 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for May 31, 2023 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, Ch |
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| June 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 STIFEL FINANCIAL CORP. |
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| June 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K (Mark One) Annual report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2022 OR Transition report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 A. |
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| June 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2023 STIFEL FINANCIAL CORP. |
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| May 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2023 STIFEL FINANCIAL CORP. |
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| May 24, 2023 |
Stifel Reports April 2023 Operating Data EX-99.1 Exhibit 99.1 Stifel Reports April 2023 Operating Data ST. LOUIS, MO, May 24, 2023 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for April 30, 2023 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszewski, |
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| May 10, 2023 |
SF / Stifel Financial Corp. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 11)* Name of issuer: Stifel Financial Corp. Title of Class of Securities: Common Stock CUSIP Number: 860630102 Date of Event Which Requires Filing of this Statement: April 28, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| May 8, 2023 |
DEFA14A SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☒ Definitive Additional Materials ☐ Soliciting Material under §240. |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2023 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FI |
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| April 28, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi |
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| April 28, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| April 26, 2023 |
STIFEL APPOINTS MARYAM BROWN AND LISA CARNOY TO BOARD OF DIRECTORS EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE STIFEL APPOINTS MARYAM BROWN AND LISA CARNOY TO BOARD OF DIRECTORS ST. LOUIS, April 26, 2023 — Stifel Financial Corp. (NYSE: SF) today announced the appointments of Maryam Brown and Lisa Carnoy to the firm’s Board of Directors, effective April 26, 2023. “As exceptionally talented business leaders, Maryam and Lisa bring unique perspective and a valuable mi |
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| April 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2023 STIFEL FINANCIAL CORP. |
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| April 26, 2023 |
First Quarter 2023 Earnings Results EX-99.2 Exhibit 99.2 First Quarter 2023 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Managem |
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| April 26, 2023 |
Stifel Reports First Quarter 2023 Results EX-99.1 Exhibit 99.1 Stifel Reports First Quarter 2023 Results ST. LOUIS, MO, April 26, 2023 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.1 billion for the three months ended March 31, 2023, compared with $1.1 billion a year ago. Net income available to common shareholders was $148.2 million, or $1.28 per diluted common share, compared with $164.2 million, or $1.39 per dil |
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| April 26, 2023 |
EX-99.3 Exhibit 99.3 First Quarter 2023 Financial Results Presentation April 26, 2023 Quarterly Earnings Report First Quarter Snapshot 1Q23 RESULTS millions, except per share and ratios NET REVENUE NET EARNINGS EPS GAAP $1.28 NON-GAAP $1.40 GAAP & NON-GAAP $1,107 GAAP $148 NON-GAAP $161 ANNUALIZED ROCE ANNUALIZED ROTCE* BOOK VALUE PER SHARE GAAP 12.7% NON-GAAP 13.9% GAAP 18.3% NON-GAAP 19.9% TBV $ |
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| April 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2023 STIFEL FINANCIAL CORP. |
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| March 23, 2023 |
Stifel Reports February 2023 Operating Data EX-99.1 Exhibit 99.1 Stifel Reports February 2023 Operating Data ST. LOUIS, MO, March 23, 2023 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for February 28, 2023 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kru |
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| March 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 23, 2023 STIFEL FINANCIAL CORP. |
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| February 23, 2023 |
Stifel Reports January 2023 Operating Data EX-99.1 Exhibit 99.1 Stifel Reports January 2023 Operating Data ST. LOUIS, MO, February 23, 2022 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for January 31, 2023 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kr |
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| February 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2023 STIFEL FINANCIAL CORP. |
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| February 17, 2023 |
List of Subsidiaries of Stifel Financial Corp., filed herewith. Exhibit 21 Stifel Financial Corp. List of Subsidiaries Subsidiary Legal Name* Jurisdiction of Incorporation Stifel Financial Corp. Delaware Stifel, Nicolaus & Company, Incorporated Missouri KCP Fund General Partner LLC Delaware Stifel Nicolaus Insurance Agency, Incorporated Missouri Stifel Nicolaus Israel Ltd. Israel Thomas Weisel Capital Management LLC Delaware Thomas Weisel Strategic Opportuniti |
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| February 17, 2023 |
Exhibit 4.11 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2022, Stifel Financial Corp. (the “Company,” “we,” “us” or “our”) had five classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (1) our common stock, par value $0.15 per share (“Comm |
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| February 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FINANCI |
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| February 13, 2023 |
SF / Stifel Financial Corp / Capital Research Global Investors - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Stifel Financial Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 860630102 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
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| February 9, 2023 |
SF / Stifel Financial Corp / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01970-stifelfinancialcorp.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)* Name of issuer: Stifel Financial Corp. Title of Class of Securities: Common Stock CUSIP Number: 860630102 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to |
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| January 25, 2023 |
Fourth Quarter and Full Year 2022 Earnings Results Exhibit 99.2 Fourth Quarter and Full Year 2022 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth |
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| January 25, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2023 STIFEL FINANCIAL CORP. |
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| January 25, 2023 |
Stifel Reports Fourth Quarter and Full Year Results Exhibit 99.1 Stifel Reports Fourth Quarter and Full Year Results ST. LOUIS, MO, January 25, 2023 – Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.1 billion for the three months ended December 31, 2022, compared with $1.3 billion a year ago. Net income available to common shareholders of $167.3 million, or $1.43 per diluted common share, compared with $252.1 million, or $2.12 p |
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| January 25, 2023 |
Exhibit 99.3 Fourth Quarter & Full Year 2022 Financial Results Presentation January 25, 2023 Quarterly Earnings Report 2022 Snapshot 2022 RESULTS millions, except per share and ratios NET REVENUE PRE-TAX MARGIN NET EARNINGS GAAP & NON-GAAP $4,391 GAAP 20.2% NON-GAAP 21.7% GAAP $625 NON-GAAP $675 EPS ROCE ROTCE* GAAP $5.32 NON-GAAP $5.74 GAAP 13.9% NON-GAAP 15.0% GAAP 20.2% NON-GAAP 21.8% * Please |
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| December 22, 2022 |
Stifel Reports November 2022 Operating Data Exhibit 99.1 Stifel Reports November 2022 Operating Data ST. LOUIS, MO, December 22, 2022 ? Stifel Financial Corp. (NYSE: SF) today reported selected operating results for November 30, 2022 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kruszews |
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| December 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 22, 2022 STIFEL FINANCIAL CORP. |
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| November 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 28, 2022 STIFEL FINANCIAL CORP. |
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| November 28, 2022 |
Stifel Reports October 2022 Operating Data EX-99.1 Exhibit 99.1 Stifel Reports October 2022 Operating Data ST. LOUIS, MO, November 28, 2022 – Stifel Financial Corp. (NYSE: SF) today reported selected operating results for October 31, 2022 in an effort to provide timely information to investors on certain key performance metrics. Due to the limited nature of this data, a consistent correlation to earnings should not be assumed. Ronald J. Kr |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2022 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFE |
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| October 26, 2022 |
Exhibit 99.3 Third Quarter 2022 Financial Results Presentation October 26, 2022 Quarterly Earnings Report Third Quarter & YTD Snapshot 3Q22 & YTD Results HIGHLIGHTS millions, except share and ratios Second Highest Third Quarter & First Nine Months GAAP Non- GAAP Net Revenue 3Q22 YTD 3Q22 YTD Net Revenue $1,045 $3,270 $1,045 $3,270 Record Quarterly & Nine Month Global Wealth Management Revenue Net |
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| October 26, 2022 |
Stifel Reports Third Quarter 2022 Results Exhibit 99.1 Stifel Reports Third Quarter 2022 Results ST. LOUIS, MO, October 26, 2022 ? Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.0 billion for the three months ended September 30, 2022, compared with $1.1 billion a year ago. Net income available to common shareholders of $141.8 million, or $1.21 per diluted common share, compared with $182.7 million, or $1.54 per dilute |
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| October 26, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2022 STIFEL FINANCIAL CORP. |
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| October 26, 2022 |
Third Quarter 2022 Earnings Results Exhibit 99.2 Third Quarter 2022 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Management - St |
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| August 10, 2022 |
STIFEL APPOINTS JIM KAVANAUGH TO BOARD OF DIRECTORS Exhibit 99.1 FOR IMMEDIATE RELEASE STIFEL APPOINTS JIM KAVANAUGH TO BOARD OF DIRECTORS ST. LOUIS, August 9, 2022 ? Stifel Financial Corp. (NYSE: SF) today announced that Jim Kavanaugh has been appointed a member of the firm?s Board of Directors, effective August 2, 2022. ?Jim represents all the qualities we want in a Board member,? said Ronald J. Kruszewski, Chairman and CEO of Stifel. ?Jim is wid |
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| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2022 STIFEL FINANCIAL CORP. |
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| August 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2022 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FIN |
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| July 27, 2022 |
Stifel Reports Second Quarter 2022 Results Exhibit 99.1 Stifel Reports Second Quarter 2022 Results ST. LOUIS, MO, July 27, 2022 ? Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.1 billion for the three months ended June 30, 2022, compared with $1.2 billion a year ago. Net income available to common shareholders of $151.5 million, or $1.29 per diluted common share, compared with $189.8 million, or $1.60 per diluted commo |
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| July 27, 2022 |
Second Quarter 2022 Financial Results Presentation July 27, 2022 Exhibit 99.3 Second Highest Second Quarter & First Half Net Revenue Second Quarter & YTD Snapshot HIGHLIGHTS Record Loan Balances Record Quarterly & Six Month Global Wealth Management Revenue Second Highest Second Quarter & First Half Institutional Group Revenue Completed Acquisition of ACXIT Capital Partners Record Quarterly Net Int |
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| July 27, 2022 |
Second Quarter 2022 Earnings Results Exhibit 99.2 Second Quarter 2022 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Management - S |
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| July 27, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2022 STIFEL FINANCIAL CORP. |
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| June 13, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2022 STIFEL FINANCIAL CORP. |
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| May 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K (Mark One) ? Annual report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2021 OR ? Transition report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 A. |
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| May 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2022 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FI |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| April 27, 2022 |
Exhibit 99.3 First Quarter 2022 Financial Results Presentation April 27, 2022 Quarterly Earnings Report First Quarter Snapshot 1Q22 RESULTS millions, except per share and ratios NET REVENUE NET EARNINGS EPS GAAP $1.39 NON-GAAP $1.49 GAAP & NON-GAAP $1,117 GAAP $164 NON-GAAP $176 ANNUALIZED ROCE ANNUALIZED ROTCE* BOOK VALUE PER SHARE GAAP 15.1% NON-GAAP 16.2% GAAP 22.3% NON-GAAP 23.8% TBV $27.91 BV |
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| April 27, 2022 |
Stifel Reports First Quarter 2022 Results Exhibit 99.1 Stifel Reports First Quarter 2022 Results ST. LOUIS, MO, April 27, 2022 ? Stifel Financial Corp. (NYSE: SF) today reported net revenues of $1.1 billion for the three months ended March 31, 2022, compared with $1.1 billion a year ago. Net income available to common shareholders was $164.2 million, or $1.39 per diluted common share, compared with $164.7 million, or $1.40 per diluted com |
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| April 27, 2022 |
First Quarter 2022 Earnings Results Exhibit 99.2 First Quarter 2022 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Management - St |
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| April 27, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2022 STIFEL FINANCIAL CORP. |
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| February 18, 2022 |
List of Subsidiaries of Stifel Financial Corp., filed herewith. Exhibit 21 Stifel Financial Corp. List of Subsidiaries Subsidiary Legal Name* Jurisdiction of Incorporation Stifel Financial Corp. Delaware Stifel, Nicolaus & Company, Incorporated Missouri KCP Fund General Partner LLC Delaware Stifel Nicolaus Insurance Agency, Incorporated Missouri Stifel Nicolaus Israel Ltd. Israel Thomas Weisel Capital Management LLC Delaware Thomas Weisel Strategic Opportuniti |
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| February 18, 2022 |
Exhibit 4.11 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2021, Stifel Financial Corp. (the ?Company,? ?we,? ?us? or ?our?) had five classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): (1) our common stock, par value $0.15 per share (?Comm |
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| February 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FINANCI |
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| February 11, 2022 |
SF / Stifel Financial Corp / MACQUARIE GROUP LTD - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Stifel Financial Corp (Name of Issuer) Common Shares (Title of Class of Securities) 860630102 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| February 11, 2022 |
SF / Stifel Financial Corp / Capital Research Global Investors - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Stifel Financial Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 860630102 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| February 10, 2022 |
SF / Stifel Financial Corp / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 9)* Name of issuer: Stifel Financial Corp. Title of Class of Securities: Common Stock CUSIP Number: 860630102 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| January 26, 2022 |
Fourth Quarter 2021 Earnings Results Exhibit 99.2 Fourth Quarter 2021 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Management - S |
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| January 26, 2022 |
Stifel Reports Record Fourth Quarter and Full Year Results Exhibit 99.1 Stifel Reports Record Fourth Quarter and Full Year Results ST. LOUIS, MO, January 26, 2022 ? Stifel Financial Corp. (NYSE: SF) today reported record net revenues of $1.3 billion for the three months ended December 31, 2021, compared with $1.1 billion a year ago. Net income available to common shareholders was $252.1 million, or $2.12 per diluted common share, compared with $180.8 mill |
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| January 26, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 26, 2022 STIFEL FINANCIAL CORP. |
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| January 26, 2022 |
Fourth Quarter & Full Year 2021 Financial Results Presentation January 26, 2022 Exhibit 99. |
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| November 5, 2021 |
Form of Deferred Award Agreement. Exhibit 10.1 STIFEL FINANCIAL CORP. DEFERRED AWARD AGREEMENT This award agreement is between Stifel Financial Corp., a Delaware corporation, including its past, present or future affiliates, subsidiaries, predecessors, successors, and parents (collectively, ?Stifel? or the ?Corporation?) and the identified Participant (the ?Participant? or ?you?). You have been designated as a key employee of the |
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| November 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2021 STIFEL FINANCIAL CORP. |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2021 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFE |
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| October 27, 2021 |
3rd Quarter 2021 Financial Results Presentation October 27, 2021 Exhibit 99.3 Record Nine Month Net Revenue Third Quarter & YTD Snapshot 1 3Q21 & YTD Results millions, except per share and ratios HIGHLIGHTS Record Nine Month Pre-tax Income & EPS Record Quarterly & Nine Month Global Wealth Management Revenue Record Nine Month Institutional Group Revenue Record Investment Banking Advisory Pipelines |
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| October 27, 2021 |
Exhibit 99.2 Third Quarter 2021 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information and Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Management - St |
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| October 27, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2021 STIFEL FINANCIAL CORP. |
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| October 27, 2021 |
Exhibit 99.1 ST. LOUIS, MO, October 27, 2021 ? Stifel Financial Corp. (NYSE: SF) today reported net income available to common shareholders of $182.7 million, or $1.54 per diluted common share on net revenues of $1.1 billion for the three months ended September 30, 2021, compared with net income available to common shareholders of $110.6 million, or $0.97 per diluted common share (1) on net revenu |
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| August 20, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on August 31, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2021 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FIN |
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| July 28, 2021 |
Second Quarter 2021 Earnings Results Exhibit 99.2 Second Quarter 2021 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Highlights 2 GAAP Consolidated Results of Operations 3 Non-GAAP Consolidated Results of Operations 4 Consolidated Financial Summary 5 Consolidated Financial Information & Metrics 6 Regulatory Capital 7 Global Wealth Management - Summary Results of Operations 8 Global Wealth Management - Sta |
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| July 28, 2021 |
Exhibit 99.1 ST. LOUIS, MO, July 28, 2021 ? Stifel Financial Corp. (NYSE: SF) today reported net income available to common shareholders of $189.8 million, or $1.60 per diluted common share on net revenues of $1.2 billion for the three months ended June 30, 2021, compared with net income available to common shareholders of $103.0 million, or $0.92 per diluted common share (1) on net revenues of $8 |
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| July 28, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2021 STIFEL FINANCIAL CORP. |
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| July 28, 2021 |
2nd Quarter 2021 Financial Results Presentation July 28, 2021 Exhibit 99.3 Record Quarterly & Six Month Net Revenue Second Quarter Snapshot 2Q21 & YTD Results millions, except per share and ratios HIGHLIGHTS NET REVENUE 2Q21: GAAP & NON-GAAP $1,153 YTD: GAAP & NON-GAAP $2,288 NET EARNINGS 2Q21: GAAP $190 NON-GAAP $202 YTD: GAAP $355 NON-GAAP $378 EPS 2Q21 GAAP $1.60 NON-GAAP $1.70 YTD: GAAP $3.00 |
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| July 22, 2021 |
Exhibit 10 4.50% NON-CUMULATIVE PREFERRED STOCK, SERIES D Certificate Number Number of Shares of Series D Preferred Stock CUSIP NO.: 860630 854 STIFEL FINANCIAL CORP. 4.50% Non-Cumulative Preferred Stock, Series D (par value $1.00 per share) (liquidation preference $25,000 per share) Stifel Financial Corp., a Delaware corporation (the ?Company?), hereby certifies that [ ] (the ?Holder?) is the reg |
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| July 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 STIFEL FINANCIAL CORP. (Exact name of registrant as specified in its charter) Delaware 43-1273600 (State or other jurisdiction of incorporation or organization) (IRS Employer Identification No.) |
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| July 22, 2021 |
Exhibit 9 DEPOSIT AGREEMENT among STIFEL FINANCIAL CORP. and COMPUTERSHARE TRUST COMPANY, N.A. and COMPUTERSHARE INC., jointly as Depositary and THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN Dated as of July 22, 2021 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS 1 Section 1.1 Definitions 1 ARTICLE II FORM OF RECEIPTS, DEPOSIT OF SERIES D PREFERRED STOCK, EXECUTION AND |
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| July 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 22, 2021 STIFEL FINANCIAL CORP. |
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| July 22, 2021 |
Exhibit 8 CERTIFICATE OF DESIGNATIONS OF 4.50% NON-CUMULATIVE PREFERRED STOCK, SERIES D OF STIFEL FINANCIAL CORP. STIFEL FINANCIAL CORP., a corporation organized and existing under the General Corporation Law of the State of Delaware (the ?Corporation?), in accordance with the provisions of Sections 103 and 151 thereof, DOES HEREBY CERTIFY: The Pricing Committee (the ?Committee?) of the board of d |
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| July 21, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 15, 2021 STIFEL FINANCIAL CORP. |
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| July 21, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 21, 2021 STIFEL FINANCIAL CORP. |
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| July 21, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE STIFEL ANNOUNCES REDEMPTION OF ALL OUTSTANDING DEPOSITORY SHARES REPRESENTING INTERESTS IN ITS 6.25% NON-CUMULATIVE PREFERRED STOCK, SERIES A ST. LOUIS, July 21, 2021 ? Stifel Financial Corp. (NYSE: SF) today announced that it will redeem all 6,000,000 of its depositary shares relating to its 6.25% Non-Cumulative Preferred Stock, Series A (the ?Series A Preferred |
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| July 21, 2021 |
Exhibit 1.1 STIFEL FINANCIAL CORP. (a Delaware corporation) 12,000,000 Depositary Shares, each representing a 1/1000th interest in a share of 4.50% Non-Cumulative Preferred Stock, Series D UNDERWRITING AGREEMENT Dated: July 15, 2021 STIFEL FINANCIAL CORP. (a Delaware corporation) 12,000,000 Depositary Shares, each representing a 1/1000th interest in a share of 4.50% Non-Cumulative Preferred Stock, |
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| July 16, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) File No. 333-238118 CALCULATION OF REGISTRATION FEE(1) Title of each class of securities to be registered Maximum aggregate offering price Amount of registration fee(2) Depositary Shares of Stifel Financial Corp. (Each Representing a 1/1000th Interest in a Share of 4.50% Non-Cumulative Preferred Stock, Series D) $300,000,000 $32,730.00 (1) The inf |
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| July 15, 2021 |
SUBJECT TO COMPLETION, DATED JULY 15, 2021 Table of Contents Filed Pursuant to Rule 424(b)(5) File No. 333-238118 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction where the offe |
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| July 15, 2021 |
Filed pursuant to Rule 433 July 15, 2021 Relating to Preliminary Prospectus Supplement dated July 15, 2021 to Prospectus dated May 8, 2020 Registration Statement No. |
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| July 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 15, 2021 STIFEL FINANCIAL CORP. |
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| June 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K (Mark One) ? Annual report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2020 OR ? Transition report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 A. |
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| May 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2021 STIFEL FINANCIAL CORP. |
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| May 6, 2021 |
Quarterly Report - SF-Q1-20210331 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2021 OR ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FI |
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| April 27, 2021 |
STIFEL REPORTS FIRST QUARTER 2021 RESULTS Exhibit 99.1 April 27, 2021 FOR IMMEDIATE RELEASE Media Contact: Neil Shapiro (212) 271-3447 Investor Contact: Joel Jeffrey (212) 271-3610 www.stifel.com/investor-relations STIFEL REPORTS FIRST QUARTER 2021 RESULTS ? Record net revenues of $1.1 billion, increased 24.3% with the year-ago quarter. ? Record net revenues in Global Wealth Management and Institutional Group segments. ? Net income availa |
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| April 27, 2021 |
1st Quarter 2021 Financial Results Presentation April 27, 2021 Exhibit 99.2 Record Quarterly Net Revenue First Quarter Snapshot 1 1Q21 Results millions, except per share and ratios HIGHLIGHTS Record First Quarter Pre-tax Income & EPS Record Quarterly Global Wealth Management Revenue Record Quarterly Institutional Group Revenue Rebranded Independent Contractor Channel to Stifel Independent Advisors |
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| April 27, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2021 STIFEL FINANCIAL CORP. |
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| April 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| April 9, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi |
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| February 19, 2021 |
List of Subsidiaries of Stifel Financial Corp., filed herewith. EXHIBIT 21 |
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| February 19, 2021 |
Exhibit 4.7 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2020, Stifel Financial Corp. (the ?Company,? ?we,? ?us? or ?our?) had four classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): (1) our common stock, par value $0.15 per share (?Commo |
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| February 19, 2021 |
Annual Report - SF-10K-20201231 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FINANCI |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Stifel Financial Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 860630102 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| February 12, 2021 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Stifel Financial Corp (Name of Issuer) Common Shares (Title of Class of Securities) 860630102 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8)* Name of issuer: Stifel Financial Corp. Title of Class of Securities: Common Stock CUSIP Number: 860630102 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| February 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2021 STIFEL FINANCIAL CORP. |
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| February 2, 2021 |
Form of Restricted Cash Award Agreement. Exhibit 10.1 STIFEL FINANCIAL CORP. RESTRICTED CASH AWARD AGREEMENT Stifel Financial Corp., a Delaware corporation including its past, present or future affiliates, subsidiaries, predecessors and successors (collectively, “Stifel” or the “Corporation”), in exercising its discretion with respect to your eligibility for incentive and retention compensation for performance calendar year 2020 (the “20 |
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| January 29, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - SF_8K_20210127 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2021 STIFEL FINANCIAL CORP. |
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| January 29, 2021 |
4th Quarter & Full Year 2020 Financial Results Presentation January 29, 2021 Exhibit 99. |
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| January 29, 2021 |
Exhibit 99.1 January 29, 2021 FOR IMMEDIATE RELEASE Media Contact: Neil Shapiro (212) 271-3447 Investor Contact: Joel Jeffrey (212) 271-3610 www.stifel.com/investor-relations STIFEL REPORTS RECORD FOURTH QUARTER AND FULL-YEAR RESULTS • 25th consecutive year of record net revenues of $3.8 billion, an increase of 12.4% compared with 2019. • Quarterly record net revenues of $1.1 billion, an increase |
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| December 9, 2020 |
Goldman Sachs U.S. Financial Services Conference December 9, 2020 Exhibit 99.1 Disclaimer Forward-Looking Statements This presentation may contain “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995 that involve significant risks, assumptions, and uncertainties, including statements relating to the market opportunity and future business prospects |
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| December 9, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - SF_8K_20201209 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2020 STIFEL FINANCIAL CORP. |
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| November 12, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - SF_8K_20201112 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2020 STIFEL FINANCIAL CORP. |
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| November 12, 2020 |
Investor Presentation November 12, 2020 Exhibit 99.1 Disclaimer Forward-Looking Statements This presentation may contain “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995 that involve significant risks, assumptions, and uncertainties, including statements relating to the market opportunity and future business prospects of Stifel Financial Corp. |
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| November 12, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE STIFEL ANNOUNCES A THREE-FOR-TWO STOCK SPLIT& INTENTION TO INCREASE ITS COMMON STOCK DIVIDEND BY 32% Represents Fourth Consecutive Annual Dividend Increase Delivered to Shareholders ST. LOUIS, November 11, 2020 ? Stifel Financial Corp. (NYSE: SF) today announced that its Board of Directors has approved a three-for-two stock split of the Company?s common stock, wh |
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| November 12, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 11, 2020 STIFEL FINANCIAL CORP. |
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| November 6, 2020 |
Quarterly Report - SF-Q3-20200930 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2020 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFE |
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| October 27, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - SF_8K_20201029 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2020 STIFEL FINANCIAL CORP. |
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| October 27, 2020 |
STIFEL REPORTS THIRD QUARTER 2020 RESULTS Exhibit 99.1 October 27, 2020 FOR IMMEDIATE RELEASE Media Contact: Neil Shapiro (212) 271-3447 Investor Contact: Joel Jeffrey (212) 271-3610 www.stifel.com/investor-relations STIFEL REPORTS THIRD QUARTER 2020 RESULTS • Net revenues of $883.3 million, increased 7.5% with the year-ago quarter. • Net income available to common shareholders of $110.6 million, or $1.46 per diluted common share. • Non-G |
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| October 27, 2020 |
3rd Quarter 2020 Financial Results Presentation October 27, 2020 Exhibit 99.2 Record Third Quarter & First Nine Months Net Revenue Third Quarter Snapshot 3Q20 Results millions, except per share and ratios HIGHLIGHTS NET REVENUES GAAP & NON-GAAP $883.3 NET EARNINGS GAAP $110.6 NON-GAAP $120.5 EPS GAAP $1.46 NON-GAAP $1.59 ANNUALIZED ROE GAAP 12.8% NON-GAAP 14.0% ANNUALIZED ROTCE GAAP 20.4% NON-GAAP |
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| September 9, 2020 |
Investor Presentation September 9, 2020 Exhibit 99.1 Disclaimer Forward-Looking Statements This presentation may contain “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995 that involve significant risks, assumptions, and uncertainties, including statements relating to the market opportunity and future business prospects of Stifel Financial Corp. |
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| September 9, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - SF_8K_20200909 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 9, 2020 STIFEL FINANCIAL CORP. |
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| August 6, 2020 |
Quarterly Report - SF-Q2-20200630 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2020 OR ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 STIFEL FIN |
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| July 29, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2020 STIFEL FINANCIAL CORP. |
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| July 29, 2020 |
STIFEL REPORTS SECOND QUARTER 2020 RESULTS Exhibit 99.1 July 29, 2020 FOR IMMEDIATE RELEASE Media Contact: Neil Shapiro (212) 271-3447 Investor Contact: Joel Jeffrey (212) 271-3610 www.stifel.com/investor-relations STIFEL REPORTS SECOND QUARTER 2020 RESULTS • Net revenues of $895.8 million, increased 11.9% with the year-ago quarter, were the Company’s third highest quarterly net revenues. • Record Institutional Group net revenues and fixed |
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| July 29, 2020 |
2nd Quarter 2020 Financial Results Presentation July 29, 2020 Exhibit 99.2 Stifel Financial Corp. 2019 Annual Report “We can do much better with regard to diversity among our associates in particular. The business case for this effort is simple, as greater diversity – in all its forms – provides more opportunities to grow while reducing the risks of blinkered, narrow-minded thinking. This applies |
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| June 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 11-K (Mark One) ☒ Annual report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2019 OR ☐ Transition report pursuant to Section 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File Number: 001-09305 A. |
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| May 20, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2020 STIFEL FINANCIAL CORP. |
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| May 20, 2020 |
EX-4.2 Exhibit 4.2 SIXTH SUPPLEMENTAL INDENTURE Dated as of May 20, 2020 To INDENTURE Dated as of January 23, 2012 4.000% SENIOR NOTES DUE 2030 STIFEL FINANCIAL CORP. As the Issuer U.S. BANK NATIONAL ASSOCIATION As Trustee TABLE OF CONTENTS ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE Section 1.01 Relationship with Base Indenture 1 Section 1.02 Definitions 2 ARTICLE II THE NOTES Section 2. |
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| May 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2020 STIFEL FINANCIAL CORP. |
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| May 19, 2020 |
EX-99.8 Exhibit 8 DEPOSIT AGREEMENT among STIFEL FINANCIAL CORP. and COMPUTERSHARE TRUST COMPANY, N.A. and COMPUTERSHARE INC., jointly as Depositary and THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN Dated as of May 19, 2020 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS 1 Section 1.1 Definitions 1 ARTICLE II FORM OF RECEIPTS, DEPOSIT OF SERIES C PREFERRED STOCK, EXECUTI |
