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Frederick Schrick

Principal Financial Officer at Stifel, Nicolaus & Company

Broker registration; no current adviser registration

Frederick Schrick is Principal Financial Officer of Stifel, Nicolaus & Company, Incorporated, a St Louis investment adviser managing $198B. Frederick Schrick has a current broker registration and no current investment-adviser registration and has passed the Series 27, SIE and Series 99TO.

3
Licensing exams

From the IAPD record · data retrieved 18 October 2026 · page updated 20 October 2026SEC record

Career

Frederick Schrick has been Principal Financial Officer of Stifel, Nicolaus & Company since August 2017. Frederick Schrick is a control person of the firm and directly owns under 5% of it.

Stifel, Nicolaus & Company, Incorporated is a St Louis, MO firm with $198B under management, 236,191 clients and 3,079 advisers across 518 offices, as of its September 2026 filing.

No adviser firm registrations are on Frederick Schrick’s record.

Credentials and registrations

Examinations

SIE2 January 2023
Name
Securities Industry Essentials Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 2712 March 2012
Name
Financial and Operations Principal Examination

Individual record

Full name
Frederick Richard Schrick
CRD
5636488

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Frederick Schrick work?

Frederick Schrick has been Principal Financial Officer of Stifel, Nicolaus & Company, Incorporated since August 2017, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 15 September 2026

Does Frederick Schrick have a current investment-adviser registration?

Frederick Schrick has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 18 October 2026

What exams has Frederick Schrick passed?

Frederick Schrick has passed 3 licensing exams: the Series 27, SIE and Series 99TO. The earliest, the Series 27, was passed in March 2012.

Source: IAPD individual record, checked 18 October 2026

Leadership at Stifel, Nicolaus & Company

Sources

  1. IAPD individual record, CRD 5636488. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Stifel, Nicolaus & Company, Incorporated, filed 15 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

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