People: Stifel Financial Corp (SF)

SF on New York Consolidated

34.75USD
23 May 2013
Price Change (% chg)

$-0.74 (-2.09%)
Prev Close
$35.49
Open
$35.00
Day's High
$35.31
Day's Low
$34.68
Volume
308,827
Avg. Vol
544,587
52-wk High
$39.72
52-wk Low
$28.10

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Summary

Name Age Since Current Position

Ronald Kruszewski

 54 2010 Co-Chairman of the Board, President, Chief Executive Officer

Thomas Weisel

 71 2010 Co-Chairman of the Board

Ben Plotkin

 57 2007 Vice Chairman of the Board, Senior Vice President

James Zemlyak

 53 2012 Chief Financial Officer, Senior Vice President, Director

Bernard Burkemper

 64 2012 Senior Vice President, Treasurer, Controller

Thomas Michaud

 48 2013 Senior Vice President, Director

Thomas Mulroy

 51 2005 Senior Vice President, Director

Victor Nesi

 52 2009 Senior Vice President, Director

S. Chad Estep

 39 2012 Senior Vice President

David Sliney

 43 2003 Senior Vice President

David Minnick

 56 2004 Senior Vice President, General Counsel

Richard Himelfarb

 71 2010 Vice Chairman of the Board, Senior Vice President

Michael Zimmerman

 61 2013 Director

Bruce Beda

 71 1997 Independent Director

Michael Brown

 67 2010 Independent Director

Charles Dill

 73 1995 Independent Director

John Dubinsky

 68 2003 Independent Director

Robert Grady

 2010 Independent Director

Frederick Hanser

 70 2003 Independent Director

Alton Irby

 71 2010 Independent Director

Robert Lefton

 80 1992 Independent Director

James Oates

 66 1996 Independent Director

Kelvin Westbrook

 57 2007 Independent Director
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Biographies

Name Description

Ronald Kruszewski

 Mr. Ronald J. Kruszewski serves as Co-Chairman of the Board, President, Chief Executive Officer of Stifel Financial Corp. He has been Chairman (2001 - present), President and Chief Executive Officer (September 1997 - present) of the company. Stifel, Nicolaus & Company, Incorporated - Chairman (2001 - present) - President and Chief Executive Officer (September 1997 - present) .Other Professional Experience and Community Involvement: Member, Board of Directors, Securities Industry and Financial Markets Association (SIFMA) Member, U.S. Ski and Snowboard Team Foundation Board Chairman of Downtown Now! Member, Board of Directors, St. Louis Regional Chamber and Growth Association Member, Board of Directors, Barnes-Jewish Hospital Member, Board of Trustees, Webster University Member, Regional Business Council in St. Louis Member, Young Presidents' Organization - St. Louis Chapter, Former Chairman, Downtown St. Louis Partnership, Inc. Mr. Kruszewski has 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 serves as Co-Chairman of the Board of Stifel Financial Corp. He was Chairman and Chief Executive Officer, Thomas Weisel Partners Group, Inc. (NASDAQ: TWPG) (1999 - 2010). Founder, Chairman, and Chief Executive Officer, Montgomery Securities (1971 - 1997). Other Professional Experience and Community Involvement : Member and former Chairman, U.S. Ski and Snowboarding Team Foundation Board (1977 - present). Chairman, USA Cycling Foundation Board (2000 - present) Member, Board of Trustees, San Francisco Museum of Modern Art (1982 - present) Founder and Chairman, Tailwind Sports, Owner of the Discovery and US Postal Cycling Teams (1990 - 2007) 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). Mr. Weisel has entrepreneurial and operational experience in the financial services industry, as evidenced by his founding and development of the investment firms of TWPG and Montgomery Securities.

Ben Plotkin

 Mr. Ben A. Plotkin serves as Vice Chairman of the Board, Senior Vice President of Stifel Financial Corp. He has been Vice Chairman and Senior Vice President (August 2007 - present) of the company. Stifel, Nicolaus & Company, Incorporated - Executive Vice President (February 2007 - present) Ryan Beck & Company, Inc., a broker-dealer - Chairman and Chief Executive Officer (1997 - February 2007) Ryan Beck, a broker-dealer firm - Executive Vice President and Director (1990 - 1997) - Director and Vice President - Investment Banking Division (1987 - 1990). Other Professional Experience and Community Involvement: Advised numerous financial services organizations throughout his career as a lawyer and investment banker Previously served on the boards of other financial institutions and the trade association for the securities industry, Presently active with several not-for-profit organizations. Mr. Plotkin's with respect to corporate strategy and advising financial services clients provides practical insight to the Board regarding key Company operations and strategic planning.

James Zemlyak

 Mr. James M. Zemlyak serves as Chief Financial Officer, Senior Vice President, Director of Stifel Financial Corp. Mr. Zemlyak has been Senior Vice President and Chief Financial Officer (1999 - present) - Treasurer (1999 - 2011). Stifel, Nicolaus & Company, Incorporated - Executive Vice President (2005 - present) - Chief Operating Officer (or Co-Chief Operating Officer) (2002 - present) - Chief Financial Officer (1999 - 2006), Managing Director and Chief Financial Officer, Baird Financial Corporation (1997 - 1999), Senior Vice President and Chief Financial Officer, Robert W. Baird & Co. Incorporated (1994 - 1999). Mr. Zemlyak has been Chief Financial Officer since 1999, is a key leader of the Company, and has over 15 years of experience in the financial services industry. The Board believes his knowledge of Company and its business is instrumental in formulating and executing business plans and growth strategies.

Bernard Burkemper

 Mr. Bernard N. Burkemper serves as Senior Vice President, Treasurer, Controller of Stifel Financial Corp. Mr. Burkemper has been Controller of the Company since April 1991 and Chief Financial Officer of Stifel Nicolaus since October 2006.

Thomas Michaud

 Mr. Thomas B. Michaud serves as Senior Vice President, Director of Stifel Financial Corp. He was elected to the Board of Directors of company in February 2013 after the completion of the merger between company and KBW, Inc. Mr. Michaud serves as Senior Vice President of the Company and Chairman, Chief Executive Officer and President of Keefe, Bruyette & Woods, Inc., one of broker-dealer subsidiaries, since February 15, 2013. Prior thereto, Mr. Michaud served as the Chief Executive Officer and President of KBW, Inc. since October 2011 and a Vice Chairman and director since its formation in August 2005. He previously served as Chief Operating Officer from August 2005 until October 2011. From 1994 until 2001, he was an elected member of the Representative Town Meeting of the Town of Greenwich, Connecticut. The Representative Town Meeting is the legislative body for the Town of Greenwich. He is also a member of the Board of Advisors of the Greenwich Chapter of the American Red Cross, a member of the board of directors of the Foreign Policy Association, a non-profit organization, and serves on the Middlebury College Capital Campaign Committee.

Thomas Mulroy

 Mr. Thomas P. Mulroy serves as Senior Vice President and Director of Stifel Financial Corp. He has served as Senior Vice President and Director of the company. Stifel, Nicolaus & Company, Incorporated - Executive Vice President (December 2005 - present) - Co-Head of Institutional Group (July 2009 - present) - Director, Equity Capital Markets (December 2005 - July 2009). Legg Mason, Inc. - Executive Vice President (1986 - November 2005). Other Professional Experience and Community Involvement: Chairman of the Board of Stifel Nicolaus Europe Ltd. B.S. in finance, Ithaca College. M.B.A. in finance, American University.

Victor Nesi

 Mr. Victor J. Nesi serves as Senior Vice President, Director of Stifel Financial Corp. He has served as Senior Vice President (July 2009 - present) of the company. Stifel, Nicolaus & Company, Incorporated - Executive Vice President and Co-Head of Institutional Group (July 2009 - present). Merrill Lynch, a global investment firm - Global Head of the Technology, Telecommunications, and Media Industries Group within Merrill Lynch Global Private Equity (2007 - 2008) - Head, Americas Investment Banking (2005 - 2007) - Head, Telecom & Media Investment Banking Group (1996 - 2005). Investment banker with two global investment banking firms for 7 years prior to joining Merrill Lynch. Practiced corporate and securities law for 4 years. With over 15 years of experience in capital markets, including international operations, Mr. Nesi has developed knowledge of the industry. His substantial experience and perspective assists the Board in its review of the Company's capital markets business.

S. Chad Estep

 Mr. S. Chad Estep serves as Senior Vice President of Stifel Financial Corp. Mr. Estep has been Chief Compliance Officer of Stifel Nicolaus since December 2005. Mr. Estep joined Stifel Nicolaus as the Director of Internal Audit in April 2005 following the Company’s acquisition of certain assets from PowellJohnson, Inc. where Mr. Estep served as the Controller from October 2002 to December 2004. Mr. Estep was employed by A.G. Edwards & Sons, Inc. from 2000 to 2001 where he worked as a Financial Advisor. Mr. Estep worked at J.C. Bradford & Co. as the Financial and Regulatory Reporting Manager from 1998 to 2000.

David Sliney

 Mr. David D. Sliney serves as Senior Vice President of Stifel Financial Corp. In 1997, Mr. Sliney began a Strategic Planning and Finance role with Stifel Nicolaus and has served as a Director of Stifel Nicolaus since May 2003. Mr. Sliney is also responsible for the company’s Operations and Technology departments. Mr. Sliney joined Stifel Nicolaus 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.

David Minnick

 Mr. David M. Minnick serves as Senior Vice President, General Counsel of Stifel Financial Corp. He has served as Senior Vice President and General Counsel of the company and Stifel Nicolaus since October 2004. Prior thereto, Mr. Minnick served as Vice President and Counsel for A.G. Edwards & Sons, Inc. from August 2002 through October 2004, Senior Regional Attorney for NASD Regulation, Inc. from November 2000 through July 2002, as an attorney in private law practice from September 1998 through November 2000, and as General Counsel and Managing Director of Morgan Keegan & Company, Inc. from October 1990 through August 1998.

Richard Himelfarb

 Mr. Richard J. Himelfarb serves as Vice Chairman of the Board, Senior Vice President of Stifel Financial Corp. He is Senior Vice President (December 2005 - present) of Stifel Financial Corp. Stifel, Nicolaus & Company, Incorporated - Executive Vice President and Director (December 2005 - present) - Chairman of Investment Banking (July 2009 - present) - Director of Investment Banking (December 2005 - July 2009) , Legg Mason, Inc. - Director (November 1983 - July 2005) - Executive Vice President (July 1995 - November 2005) - Senior Vice President (November 1983 - July 1995), Legg Mason Wood Walker, Inc. - Executive Vice President (July 1995 - November 2005) - Senior Vice President (November 1983 - July 1995). He Practiced corporate, tax, and securities law for 16 years prior to joining Legg Mason , Member, Board of Directors, Greater Baltimore Committee, Member, Board of Directors, Kennedy Krieger Institute , Member, Board of Directors, University of Maryland Baltimore Foundation. With nearly 30 years of experience in the investment banking industry, Mr. Himelfarb provides critical insight with respect to the Company's operations and assists the Board in its oversight of the Company's investment banking businesses.

Michael Zimmerman

Bruce Beda

 Mr. Bruce A. Beda is Independent Director of Stifel Financial Corp. He has been Chief Executive Officer, Kilbourn Capital Management, LLC, a financial asset manager (2001 - present. Held various management positions at two Fortune 200 companies for 15 years and was Chief Financial Officer of a public company. He holds M.B.A., Finance, University of Michigan, B.B.A., Accounting, University of Michigan. Mr. Beda has financial experience and decade-long leadership as a financial asset manager and provides an important historical perspective with respect to Company operations. Mr. Beda also has substantial experience as a director of other publicly held companies.

Michael Brown

 Mr. Michael W. Brown is Independent Director of Stifel Financial Corp., effective August 3, 2010. Mr. Brown served in 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). Former Chairman, NASDAQ Stock Market Board of Directors, Former Governor, National Association of Securities Dealers. Mr. Brown has considerable financial and accounting , including eight years of financial leadership with a 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.

Charles Dill

 Mr. Charles A. Dill is Independent Director of Stifel Financial Corp. He has been Managing partner, Two Rivers Associates, a private equity firm (2003 - present), General partner, Gateway Partners, L.P., a venture capital fund (1995 - present), President, Chief Executive Officer, and Director, Bridge Information Systems, Inc., a company providing online information and trading services (1991 - 1995). He is Venture capital and private equity investor, Director, John Allan Love Foundation. Mr. Dill has 17 years of experience in the venture capital and private equity investment markets, following prior operating experience as CEO of an information technology company serving the financial services industry. Earlier in his professional career, Mr. Dill led the development of the global businesses of two NYSE companies, Emerson Electric and AVX Corporation. Mr. Dill has substantial experience as a director of other publically held companies.

John Dubinsky

 Mr. John P. Dubinsky is Independent Director of Stifel Financial Corp. He has been 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) - Chairman (2008 - present) - President and Chief Executive Officer (2003 - 2008) President Emeritus, Firstar Bank (1999 - 2001) Chairman, President, and Chief Executive Officer, Mercantile Bank (1997 - 1999) (1) President and Chief Executive Officer, Mark Twain Bancshares, Inc. Trustee, BJC HealthCare, Barnes-Jewish Hospital Trustee, Washington University Trustee, St. Louis Public Library Chairman, St. Louis Public Library Foundation Trustee, National Public Radio, Washington, D.C.

Robert Grady

 Mr. Robert Edward Grady is Independent Director of Stifel Financial Corp., since August 3, 2010. Mr. Grady is Partner and Managing Director, Cheyenne Capital Fund, a private equity investment firm (2009 - present) Managing Director, Carlyle Group, a private equity firm (2000 - 2009) - Member, Management Committee - Chairman and Fund Head, Carlyle Venture Partners - Member, Investment Committee (Carlyle Venture Partners, Carlyle Asia Growth Partners, and Carlyle Europe Technology Partners) Managing Director, Robertson Stephens & Company (1993 - 2000) . Other Professional Experience and Community Involvement Chairman, New Jersey Council of Economic Advisors Chairman, New Jersey State Investment Council, which oversees the state's $72 billion pension system Former Chairman, National Venture Capital Association Former Deputy Assistant to President George H.W. Bush Former Executive Associate Director, Office of Management and Budget Former professor, Stanford Graduate School of Business.

Frederick Hanser

 Mr. Frederick O. Hanser is Independent Director of Stifel Financial Corp. He has been Vice Chairman, Stifel Bank & Trust (2007 - present), Director, SLC Holdings, LLC, the manager and holding company for the St. Louis Cardinals, LLC. (1996 - present), Vice Chairman, St. Louis Cardinals, LLC, a professional baseball team (1996 - 2010, Attorney, Fordyce and Mayne, a law firm , Attorney, Armstrong, Teasdale LLP, a law firm. Other Professional Experience and Community Involvement: One of three principal organizers and Member, Board of Directors, of Mississippi Valley Bancshares, Inc. (1), a bank holding company (NASDAQ: MVBI), Practiced law for 29 years, focused in banking, corporate and estate taxation, medical law, venture capital, and closely held businesses, B.A., Yale University, J.D., Washington University, Member, Board of Directors, and President, BackStoppers, Inc., Member, Board of Directors, CrimeStoppers - St. Louis Region . Mr. Hanser has legal and managerial background, as well as experience as a director of other financial services companies.

Alton Irby

 Mr. Alton F. Irby, III, is Independent Director of Stifel Financial Corp., since August 3, 2010. Mr. Irby is Founding partner, London Bay Capital LLC, a privately held investment firm (May 2006 - present). Founding partner, Tricorn Partners LLP, a privately held investment bank (May 2003 - May 2006). Chairman and Chief Executive Officer of HawkPoint Partners (formerly known as National Westminster Global Corporate Advisory) (1997 - 2000). Founding partner, Hambro Magan Irby Holdings (1988 - 1997). Mr. Irby has experience founding, multiple privately held investment firms as well as 25 years of experience in the international financial services industry in Europe and the United States.

Robert Lefton

 Dr. Robert E. Lefton, Ph.D., is Independent Director of Stifel Financial Corp. He has been Chairman and Chief Executive Officer, Psychological Associates, Inc., an international training and consulting firm (1958 - present). Dr. Lefton has 52 years of leadership in international training and consulting and a long-standing history.

James Oates

 Mr. James M. Oates is Independent Director of Stifel Financial Corp. He has been 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). Other Professional Experience and Community Involvement: Board Member, Investors Bank & Trust Corporation Board Member, Virtus Funds Board Member, Connecticut River Bancorp Chairman, Connecticut River Bank Board Member, New Hampshire Trust Company Chairman of the Board, John Hancock Variable Insurance Trust and the John Hancock Funds II Chairman of the Board, Emerson Investment Management, Inc. Member, investment committee of the Endowment for Health Trustee Emeritus of Middlesex School, Concord, Massachusetts. 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.

Kelvin Westbrook

 Mr. Kelvin R. Westbrook is Independent Director of Stifel Financial Corp. Mr. Westbrook has been President and Chief Executive Officer, KRW Advisors, LLC, a privately held telecommunications and media consulting and advisory services firm (October 2007 - present). Broadstripe, LLC (formerly known as Millennium Digital Media Systems, LLC)(1), broadband services company - Chairman and Chief Strategic Officer (September 2006 - October 2007) - President and Chief Executive Officer (May 1997 - September 2006). Other Professional Experience and Community Involvement: Member, Board of Directors, BJC HealthCare, Member, Board of Directors, National Cable Satellite Corporation, better known as C-SPAN (2002 - 2011), Former partner of a national law firm.

Insider Trading

Name Shares Traded Price

WEISEL THOMAS W

 25,330 $32.63

WEISEL THOMAS W

 51,150 $0.00

ESTEP STEPHEN CHAD

 2,750 $36.00

MICHAUD THOMAS B

 13,735 $38.04

WEISEL THOMAS W

 4,931 $39.25

WEISEL THOMAS W

 13,137 $0.00

LEFTON ROBERT E

 3,000 $0.00

PLOTKIN BEN A

 21,306 $0.00

KRUSZEWSKI RONALD J

 214,583 $0.00

ESTEP STEPHEN CHAD

 2,146 $0.00

OATES JAMES M

 3,591 $0.00

KRUSZEWSKI RONALD J

 99,254 $35.13

BURKEMPER BERNARD N

 1,002 $35.13

SLINEY DAVID D

 13,464 $0.00

MINNICK DAVID MICHAEL

 653 $35.13

HIMELFARB RICHARD J

 7,671 $35.13

BURKEMPER BERNARD N

 2,592 $0.00

BRAUTIGAM ALLEN C

 2,518 $35.13

DUBINSKY JOHN P

 3,349 $0.00

ESTEP STEPHEN CHAD

 830 $35.13

MINNICK DAVID MICHAEL

 1,689 $0.00

BEDA BRUCE A

 3,830 $0.00

PLOTKIN BEN A

 5,947 $35.13

BRAUTIGAM ALLEN C

 7,165 $0.00

KRUSZEWSKI RONALD J

 791 $0.00
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