FIRST EMPIRE, STIFEL BOARD APPROVAL
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.
Board Approval Resolution Template
Stifel Annual Report
Stifel Form 10-K (i.e. an annual report required by the SEC)
Stifel Earnings Releases
Stifel Financial Strength
Stifel, Nicolaus & Company Statement of Financial Condition
Stifel Regulatory Agencies
Stifel Business Continuity Notification
Stifel Asset Protection
Stifel AML Certification
First Empire Securities Audited Financials/Due Diligence: