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FIRST EMPIRE, STIFEL BOARD APPROVAL
RESOURCE CENTER

First Empire was acquired by Stifel Financial Corp. on January 1, 2019. Preparations are currently underway to transition First Empire clients to Stifel, Nicolaus & Company, Incorporated, a registered broker-dealer and subsidiary of Stifel Financial Corp.

To ensure a smooth transition, we are recommending that our clients amend their policies by adding Stifel, Nicolaus & Company, Incorporated as an approved broker-dealer and custodian, while also keeping First Empire Securities on that list. If you have any questions regarding the conversion process, please contact your account representative or the operations department at 800-645-5424. 

Important Links

 Board Approval Resolution Template
   https://www.1empire.com/PDF/Stifel_BoardApproval.pdf

 

Stifel Annual  Report
   https://www.stifel.com/docs/pdf/investorrelations/annualreports/annual2017.pdf
 

Stifel Form 10-K (i.e. an annual report required by the SEC)

   https://www.stifel.com/docs/pdf/investorrelations.annualreports.pdf
 

Stifel Earnings Releases
   https://www.stifel.com/investor-relations/earnings-releases
 

Stifel Financial Strength
   https://www.stifel.com/docs/pdf/Publications/SF_FinancialStrength.pdf
 

Stifel, Nicolaus & Company Statement of Financial Condition
   https://www.​​sec.gov/Archives/edgar/data/94403/000119312518065028/d544846dfull.pdf

Stifel Regulatory Agencies
   http://www.1empire.com/PDF/Stifel_RegulatoryAgencies.pdf

Stifel Privacy Policy
   http://www.1empire.com/PDF/Stifel_PrivacyPolicies.pdf

Stifel Business Continuity Notification
   http://www.1empire.com/PDF/Stifel_BusinessContinuity.pdf

Stifel Asset Protection
   http://www.1empire.com/PDF/Stifel_AssetProtection.pdf

Stifel AML Certification
   http://www.1empire.com/PDF/Stifel_AMLCertification.pdf

First Empire Securities Audited Financials/Due Diligence:
   https://www.1empire.com/PDF/2018_FES_DueDiligence_Secure.pdf

Important Disclosures  |  Privacy Policies  |  Business Continuity Plan | Risk Disclosures  |  Volcker Rule Conflicts Disclosure

This site is published in the United States for U.S. residents only. The services offered within this site are available exclusively through our U.S. Financial Advisors. Stifel Financial Advisors may only conduct business with residents of the states in which they are properly registered. The information on this web site is not an offer to sell or a solicitation of an offer to buy any security, nor shall any such security be offered or sold to any person in any jurisdiction in which such offer, solicitation, purchase, or sale may not lawfully be made. References to Stifel herein may apply to parent company Stifel Financial Corp. or any of its wholly owned subsidiaries, including Stifel, Nicolaus & Company, Incorporated, Member NYSE, FINRA, and SIPC.


© 2019 Stifel Financial Corp.  All Rights Reserved.