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Stifel Financial Corp (SF.N)

SF.N on New York Stock Exchange

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Summary

Name Age Since Current Position

Ronald Kruszewski

59 2014 Co-Chairman of the Board, Chief Executive Officer

Thomas Weisel

77 2010 Co-Chairman of the Board

James Zemlyak

58 2017 President, Chief Financial Officer

James Marischen

38 2015 Senior Vice President, Chief Accounting Officer, Chief Risk Officer

Mark Fisher

48 2015 Senior Vice President, General Counsel

Richard Himelfarb

76 2017 Senior Vice President

Thomas Michaud

53 2017 Senior Vice President

Ben Plotkin

62 2017 Senior Vice President

David Sliney

48 2003 Senior Vice President

Victor Nesi

57 2017 Head of Institutional Group

Robert Grady

60 2017 Lead Independent Director

Kathleen Brown

72 2016 Independent Director

Michael Brown

72 2010 Independent Director

John Dubinsky

74 2003 Independent Director

Maura Markus

60 2016 Independent Director

James Oates

72 1996 Independent Director

David Peacock

49 2017 Independent Director

Michael Zimmerman

67 2013 Independent Director

Biographies

Name Description

Ronald Kruszewski

Mr. Ronald J. Kruszewski is a Co-Chairman of the Board, Chief Executive Officer of STIFEL FINANCIAL CORP. Chairman of the Board of Directors and Chief Executive Officer of Stifel Financial Corp. Career Highlights • Stifel Financial Corp. ? Chairman (2001 – present) ? Chief Executive Officer (September 1997 – present) ? President (September 1997 – June 2014) • Stifel, Nicolaus & Company, Incorporated ? Chairman (2001 – present) ? President (2011 – present) ? Chief Executive Officer (1997 – present) Other Professional Experience and Community Involvement • Member, Board of Directors, Securities Industry and Financial Markets Association (SIFMA) • Member, Federal Advisory Council, St. Louis Federal Reserve Board of Directors • Member, U.S. Ski and Snowboard Team Foundation Board • Chairman of Downtown Now! • Member, Board of Directors, St. Louis Regional Chamber • Member, Regional Business Council in St. Louis • Member, World Presidents’ Organization - St. Louis Chapter • Former Chairman, Downtown St. Louis Partnership, Inc. Mr. Kruszewski has extensive managerial and leadership experience in the financial services industry in addition to a comprehensive understanding and knowledge of the Company’s day-to-day operations and strategy.

Thomas Weisel

Mr. Thomas W. Weisel is a Co-Chairman of the Board of Stifel Financial Corp. Career Highlights • Chairman and Chief Executive Officer, Thomas Weisel Partners Group, Inc. (NASDAQ: TWPG) (1999 – 2010) • Founder, Chairman, and Chief Executive Officer, Montgomery Securities (1971 – 1997) • Lifetime Achievement Award, National Venture Capital Association (2006) • George Steinbrenner Sport Leadership Award, US Olympic Foundation (2011) Other Professional Experience and Community Involvement • Member and former Chairman, U.S. Ski and Snowboarding Team Foundation (1977 – present) • Chairman, USA Cycling Foundation Board (2000 – present) • Member, Board of Trustees, San Francisco Museum of Modern Art (1982 – present) • Chairman and Board Member, Empower America (1994 – 2002) • Chairman, Capital Campaign for California School of Arts & Crafts (1996 – 1997) • Member, Board of Directors, Stanford Endowment Management Board (2001 – 2009) • Member, Advisory Board, Harvard Business School (2007 – 2009) • Board Member, NASDAQ (2002 – 2006) • Trustee, Museum of Modern Art in New York (1996 – 2011) • M.B.A., Harvard Business School • B.A., Stanford University Mr. Weisel has extensive entrepreneurial and operational experience in the financial services industry, as evidenced by his founding and development of the investment firms of Thomas Weisel Partners Group, Inc. (“TWPG”) and Montgomery Securities prior to joining the Company.

James Zemlyak

Mr. James M. Zemlyak serves as President, Chief Financial Officer of the Company. He was named to the Office of the President in June 2014. Mr. Zemlyak has been Chief Financial Officer of our company and Stifel since February 1999. Mr. Zemlyak served as Director of our company from February 1999 to June 2017. Mr. Zemlyak served as our company’s Treasurer from February 1999 to January 2012. Mr. Zemlyak has been Chief Operating Officer of Stifel since August 2002 and Executive Vice President of Stifel since December 1, 2005. Mr. Zemlyak also served as Chief Financial Officer of Stifel from February 1999 to October 2006. Prior to joining our company, Mr. Zemlyak served as Managing Director and Chief Financial Officer of Baird Financial Corporation from 1997 to 1999 and Senior Vice President and Chief Financial Officer of Robert W. Baird & Co. Incorporated from 1994 to 1999.

James Marischen

Mr. James M. Marischen is a Senior Vice President, Chief Accounting Officer, Chief Risk Officer of STIFEL FINANCIAL CORP. He has served as Senior Vice President and Chief Risk Officer of our company since January 2014. During 2015, Mr. Marischen was named our Chief Accounting Officer. Mr. Marischen served as Executive Vice President and Chief Financial Officer of Stifel Bank & Trust from February 2008 to January 2014. Prior to joining our company in 2008, Mr. Marischen worked in public accounting at KPMG LLP.

Mark Fisher

Mr. Mark P. Fisher is Senior Vice President, General Counsel of STIFEL FINANCIAL CORP. has served as Senior Vice President since July 2010 and General Counsel since May 2014. Mr. Fisher served as General Counsel of Thomas Weisel Partners Group, Inc. from May 2005 until the merger between our company and Thomas Weisel Partners Group, Inc. in July 2010. From January 1998 until May 2005, Mr. Fisher practiced corporate and securities law at Sullivan & Cromwell LLP.

Richard Himelfarb

Mr. Richard J. Himelfarb serves as Senior Vice President of the Company. He has served as Senior Vice President of our company and Executive Vice President and Director of Stifel since December 2005. Mr. Himelfarb served as Director of our company from December 2005 to June 2017. Mr. Himelfarb was designated Chairman of Investment Banking in July 2009. Prior to that, Mr. Himelfarb served as Executive Vice President and Director of Investment Banking from December 2005 through July 2009. Prior to joining our company, Mr. Himelfarb served as a director of Legg Mason, Inc. from November 1983 and Legg Mason Wood Walker, Inc. from January 2005. Mr. Himelfarb was elected Executive Vice President of Legg Mason and Legg Mason Wood Walker, Inc. in July 1995, having previously served as Senior Vice President from November 1983.

Thomas Michaud

Mr. Thomas B. Michaud serves as Senior Vice President of the Company. He has served as Senior Vice President of our company and Chairman, Chief Executive Officer, and President of Keefe, Bruyette & Woods, Inc., one of our broker-dealer subsidiaries, since February 15, 2013, the completion of the merger between our company and KBW, Inc. Mr. Michaud served as Director of our company from February 2013 to June 2017. Prior thereto, Mr. Michaud served as the Chief Executive Officer and President of KBW, Inc. since October 2011 and as Vice Chairman and director since its formation in August 2005. He previously served as Chief Operating Officer from August 2005 until October 2011.

Ben Plotkin

Mr. Ben A. Plotkin serves as Senior Vice President of the Company. has been Vice Chairman and Senior Vice President of our company since August 2007 and Executive Vice President of Stifel since February 2007. Mr. Plotkin has served as Executive Vice President of Keefe, Bruyette & Woods, Inc., one of our broker-dealer subsidiaries, since February 15, 2013, the completion of the merger between our company and KBW, Inc. Mr. Plotkin served as Director of our company from August 2007 to June 2017. Mr. Plotkin also served as Chairman and Chief Executive Officer of Ryan Beck & Company, Inc. from 1997 until its acquisition by our company in 2007. Mr. Plotkin was elected Executive Vice President of Ryan Beck in 1990. Mr. Plotkin became a Senior Vice President of Ryan Beck in 1989 and was appointed First Vice President of Ryan Beck in December of 1987. Mr. Plotkin joined Ryan Beck in May of 1987 as a Director and Vice President in the Investment Banking Division.

David Sliney

Mr. David D. Sliney is a Senior Vice President of Stifel Financial Corp.. has been a Senior Vice President of our company since May 2003. In 1997, Mr. Sliney began a Strategic Planning and Finance role with Stifel and has served as a Director of Stifel since May 2003. Mr. Sliney is also responsible for our company’s Operations and Technology departments. Mr. Sliney joined Stifel in 1992, and between 1992 and 1995, Mr. Sliney worked as a fixed income trader and later assumed responsibility for the firm’s Equity Syndicate Department.

Victor Nesi

Mr. Victor J. Nesi serves as Head of Institutional Group of the Company. He wa sPresident, Co-Director of Institutional Group, and Director of the Company. Mr. Nesi has served as Director of Investment Banking and Co-Director of our Institutional Group since July 2009. Mr. Nesi has served as Director of our company since August 2009. Mr. Nesi has more than 20 years of banking and private equity experience, most recently with Merrill Lynch, where he headed the global private equity business for the telecommunications and media industry. From 2005 to 2007, he directed Merrill Lynch’s investment banking group for the Americas region. Prior to joining Merrill Lynch in 1996, Mr. Nesi spent seven years as an investment banker at Salomon Brothers and Goldman Sachs.

Robert Grady

Mr. Robert Edward Grady serves as Lead Independent Director of Stifel Financial Corp. Other Current Public Company Directorships: Maxim Integrated Products, Inc. (NASDAQ: MXIM) Other Public Company Directorships Within the Past 5 Years: AuthenTec, Inc. (NASDAQ: AUTH), and Blackboard, Inc. (NASDAQ: BBBB) Career Highlights • Partner, Gryphon Investors, a private equity investment firm (2015 – present) • Partner and Managing Director, Cheyenne Capital Fund, a private equity investment firm (2009 – 2014) • Partner and Managing Director, Carlyle Group, a global alternative asset management firm (2000 – 2009) ? Member, Management Committee ? Chairman and Fund Head, Carlyle Venture Partners • Partner and Managing Director, Robertson Stephens & Co. (1993-2000) Other Professional Experience and Community Involvement • Director, Jackson Hole Mountain Resort • Chair, St. John’s Hospital (Jackson, WY) Foundation • Steering Committee Member, Wyoming Business Alliance • Former Chairman, New Jersey State Investment Council, which oversees the state’s $78 billion pension system • Former Chair, National Venture Capital Association • Former Deputy Assistant to President George H.W. Bush, The White House • Former Executive Associate Director, Office of Management and Budget (“OMB”), Executive Office of the President • Former Lecturer in Public Management, Stanford Graduate School of Business • M.B.A., Stanford Graduate School of Business • A.B., Harvard College

Kathleen Brown

Ms. Kathleen L. Brown is an Independent Director of STIFEL FINANCIAL CORP. Other Current Public Company Directorships: Sempra Energy (NYSE:SRE), Five Points Holdings, LLC (NYSE: FPH) Career Highlights ? Partner, Manatt, Phelps and Phillips, LLP, focused on business counseling, government and regulatory affairs, particularly as they relate to the healthcare, energy, real estate and financial services industries (2013 – present). ? Five Points Holdings, LLC, Director and member of Audit and Conflicts Committees (2016 – present). ? Goldman Sachs, Inc. (2001 – 2013): Chairman, Midwest Investment Banking (2010 – 2013) Managing Director and Head, Western Region Public-Sector and Infrastructure Group (2003 – 2010). ? Bank of America (1995 – 2000), numerous positions, including National Co-President, Private Bank and President, Southern California, Private Bank. ? State of California, State Treasurer (1990 – 1994). Other Professional Experience and Community Involvement • Renew Financial, Director (2016 – present) • Forestar Group, Director (2007 – 2016) • Presidential Commission on Capital Budgeting, Co-Chair (1996 – 1997) • CALPERS, Trustee and CALSTRS, Trustee (1990 – 1995) • Los Angeles Board of Public Works, Commissioner (1987 – 1989) • Los Angeles Board of Education, Member (1975 – 1980) • J.D., Fordham University Law School • B.A., Stanford University Ms. Brown brings 18 years of experience as a senior executive in the banking and financial services industry and 16 years of public-sector experience to the Board of Directors. Through her public service and service as an executive and director of leading financial service companies, Ms. Brown brings substantial knowledge and expertise to the Board of Director’s deliberations.

Michael Brown

Mr. Michael W. Brown is an Independent Director of Stifel Financial Corp. Other Current Public Company Directorships: VMWare, Inc. (NYSE: VMW) Career Highlights • Microsoft Corporation, a global software company (NASDAQ: MSFT) ? Vice President and Chief Financial Officer (August 1994 – July 1997) ? Vice President – Finance and Treasurer (1989 – August 1994) • Deloitte & Touche LLP, a provider of assurance, tax, and business consulting services (1971 – 1989). Other Professional Experience and Community Involvement • Former Chairman, NASDAQ Stock Market Board of Directors • Former Governor, National Association of Securities Dealers Experience and Qualifications: Mr. Brown has considerable financial and accounting expertise, including eight years of financial leadership with a leading technology company and directorships at other publicly held companies. Mr. Brown also has considerable experience as a director and governor of self-regulatory organizations within the financial services industry. Mr. Brown’s deep technology experience provides the Board and senior management with insight and perspective on technology across the Company, including keen insight and guidance concerning the Company’s cybersecurity efforts.

John Dubinsky

Mr. John P. Dubinsky is an Independent Director of Stifel Financial Corp. Other Public Company Directorships Within the Past 5 Years: Aegion Corporation (NASDAQ: AEGN) Career Highlights • Chairman, Stifel Bank & Trust (April 2007 – present) • President and Chief Executive Officer, Westmoreland Associates, LLC, a financial consulting company (1995 – present) • CORTEX (Center of Research, Technology, and Entrepreneurial Expertise) ? Board Member (2008 – present) ? Chairman (2008 – 2016) ? President and Chief Executive Officer (2003 – 2008) • President Emeritus, Firstar Bank (1999 – 2001) • Chairman, President, and Chief Executive Officer, Mercantile Bank (1997 – 1999) (until the merger with U.S. Bank National Association, formerly, Firstar Bank, N.A.) • President and Chief Executive Officer, Mark Twain Bancshares, Inc. • Board Member, Drury Hotels Other Professional Experience and Community Involvement • Trustee Emeritus, Barnes-Jewish Hospital • Trustee Emeritus, Washington University • Trustee and Chairman, St. Louis Public Library • Trustee, National Public Radio Foundation, Washington, D.C. • Vice Chairman, Arch to Park. Experience and Qualifications: Mr. Dubinsky is a leader in the financial consulting industry and has extensive experience in managing financial institutions. Mr. Dubinsky also has strong experience as a director of other publicly held and large private companies as well as not-for-profit entities.

Maura Markus

Ms. Maura A. Markus is an Independent Director of STIFEL FINANCIAL CORP. Other Current Public Company Directorships: Broadridge Financial Solutions, Inc. (NYSE: BR) Career Highlights ? Bank of the West, President, Chief Operating Officer and Board Director (2010 – 2014) ? Citigroup (1987 – 2009) ? Executive Vice President, Head of International Retail Banking (2007 – 2009) ? President, Citibank N.A. (2000 – 2007) ? President, Citibank Greece (1997 – 2000) ? European Sales and Marketing Director (1994 – 1997) Other Professional Experience and Community Involvement • College of Mount St. Vincent in New York, Trustee • Catholic Charities San Francisco, Board Member • Year Up San Francisco Bay Area Talent and Opportunity Board, Member • Financial Services Roundtable, Former Member • M.B.A., Harvard Business School • B.A., Boston College, summa cum laude Experience and Qualifications: Ms. Markus brings over twenty-five years of experience in banking to the Board of Directors, including as a senior executive. Ms. Markus has been named one of American Banker’s Most Powerful Women in Banking multiple times. Through her proven service as an executive and director of leading financial service companies, Ms. Markus brings substantial knowledge and expertise to the Board of Director’s deliberations.

James Oates

Mr. James M. Oates is an Independent Director of Stifel Financial Corp. Other Public Company Directorships Within the Past 5 Years: Duff & Phelps Select Energy MLP Fund Inc. (NYSE:DSE) Career Highlights • Managing Director, The Wydown Group, a financial consulting firm (1994 – present) • Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.), a financial services company (1997 – 2011) • Chief Executive Officer, Neworld Bank Corp. (1985 – 1994) Other Professional Experience and Community Involvement • Board Member, Virtus Funds • Board Member and former Chairman, John Hancock Funds • Chairman of the Board, Emerson Investment Management, Inc. (1995– 2016) • Trustee Emeritus of Middlesex School, Concord, Massachusetts • Chairman, Connecticut River Bank (2000 – 2014) • Board Member, New Hampshire Trust Company (2000 – 2014) • Board member, Connecticut River Bancorp (2000 – 2014) (PK: CORB.PK) • M.B.A., Harvard Business School • B.A , Harvard College. Mr. Oates has led several financial services and consulting firms and has substantial investment experience serving on public company, mutual fund, and private investment boards and committees.

David Peacock

Mr. David Peacock is Independent Director of the Company. Mr. Peacock has 25 years of experience in the beverage industry, including roles in management, financial planning, and marketing. He began his career in 1992 with Anheuser-Busch and rose through the organization, reaching the position of President in 2008. As head of the company from 2008 to 2012, Mr. Peacock was responsible for the commercial success of Anheuser-Busch and managing the company’s U.S. operations. In addition, he led Anheuser-Busch’s integration with InBev in the U.S. Mr. Peacock is currently Chairman of Vitaligent, LLC, the largest franchisee for Jamba Juice in California, Missouri, and Kansas. Mr. Peacock earned a B.A. in journalism from the University of Kansas and an M.B.A. from Washington University in St. Louis. He is currently an investor in and Board Member of Ronnoco Coffee, LLC. He is also a Director of Schnucks Markets Inc. His charitable and civic responsibilities include serving as Chairman of the St. Louis Sports Commission, member of the Pro Football Hall of Fame Board of Trustees, and member of St. Louis’ CityArchRiver Board.

Michael Zimmerman

Mr. Michael J. Zimmerman is an Independent Director of STIFEL FINANCIAL CORP. Other Public Company Directorships Within the Past 5 Years: KBW, Inc. (NYSE: KBW), Financial Federal Corporation (NYSE: FIF), Overseas Shipholding Group, Inc. (FINRA OTC: OSGIQ), and Smithfield Foods, Inc. (NYSE: SFD) Career Highlights ? Continental Grain Company, a diversified international agribusiness and investment firm ? Vice Chairman (2012 - present) ? Executive Vice President and Chief Financial Officer (1999 – 2012) ? Senior Vice President, Investments and Strategy (1996 – 1999) ? Managing Director, Salomon Brothers, Inc. (1976 – 1996) Other Professional Experience and Community Involvement • Investment Committee Member, Arlon Group LLC, an investment subsidiary of Continental Grain Company • Board Member and Chairman, Audit Committee, of Castleton Commodities, Inc., a leading merchant energy company • Trustee, Mount Sinai Health System, a non-profit health care organization • Chairman, FOJP Service Corporation, a non-profit insurance company • Chairman, Investment Committee, U.S. Holocaust Memorial Museum Mr. Zimmerman’s experience within the financial services industry and his understanding of investment banking provide valuable judgment and insights. This background, together with perspectives applied as an independent director and audit committee member of a publicly held company, brings knowledge and a skill set integral to our Board.

Basic Compensation

Name Fiscal Year Total

Ronald Kruszewski

13,228,100

Thomas Weisel

2,361,170

James Zemlyak

8,116,050

James Marischen

--

Mark Fisher

--

Richard Himelfarb

2,079,680

Thomas Michaud

4,223,030

Ben Plotkin

938,273

David Sliney

802,715

Victor Nesi

8,553,480

Robert Grady

216,396

Kathleen Brown

166,396

Michael Brown

191,396

John Dubinsky

223,546

Maura Markus

166,396

James Oates

191,396

David Peacock

166,396

Michael Zimmerman

166,396
As Of  31 Dec 2017