401k Plan data: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST plan

STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 401k Plan overview

Plan Name	STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST
Plan identification number	002

STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP. Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

STIFEL FINANCIAL CORP. has sponsored the creation of one or more 401k plans.

Company Name: STIFEL FINANCIAL CORP.

Employer identification number (EIN): 431273600

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Additional information about STIFEL FINANCIAL CORP.

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 0929371

More information about STIFEL FINANCIAL CORP.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-01-01 KRISTEN R. JOHNSON JAMES LASCHOBER 2014-03-31
002 2012-01-01 KRISTEN FISHERO BERNARD N. BURKEMPER 2013-10-15
002 2011-01-01 KRISTEN FISHERO BERNARD N. BURKEMPER 2012-10-15
002 2010-01-01 KRISTEN FISHERO BERNARD N. BURKEMPER 2011-10-12
002 2009-01-01 KRISTEN FISHERO BERNARD N. BURKEMPER 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2013-01-01	KRISTEN R. JOHNSON	JAMES LASCHOBER	2014-03-31
002	2012-01-01	KRISTEN FISHERO	BERNARD N. BURKEMPER	2013-10-15
002	2011-01-01	KRISTEN FISHERO	BERNARD N. BURKEMPER	2012-10-15
002	2010-01-01	KRISTEN FISHERO	BERNARD N. BURKEMPER	2011-10-12
002	2009-01-01	KRISTEN FISHERO	BERNARD N. BURKEMPER	2010-10-15

Plan Statistics for STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST

401k plan membership statisitcs for STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST

Measure Date Value
2013: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 4,434
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 83
2012: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 4,335
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 4,197
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 237
Total of all active and inactive participants 2012-01-01 4,434
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 4,434
Number of participants with account balances 2012-01-01 4,434
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 107
2011: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 3,457
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 4,138
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 197
Total of all active and inactive participants 2011-01-01 4,335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 4,335
Number of participants with account balances 2011-01-01 4,335
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 176
2010: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 2,699
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 3,281
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 176
Total of all active and inactive participants 2010-01-01 3,457
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 3,457
Number of participants with account balances 2010-01-01 3,457
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 113
2009: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1,711
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 2,554
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 145
Total of all active and inactive participants 2009-01-01 2,699
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 2,699
Number of participants with account balances 2009-01-01 2,699
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 79

Measure	Date	Value
2013: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	4,434
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	83
2012: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	4,335
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	4,197
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	237
Total of all active and inactive participants	2012-01-01	4,434
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	4,434
Number of participants with account balances	2012-01-01	4,434
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	107
2011: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	3,457
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	4,138
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	197
Total of all active and inactive participants	2011-01-01	4,335
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	4,335
Number of participants with account balances	2011-01-01	4,335
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	176
2010: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	2,699
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	3,281
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	176
Total of all active and inactive participants	2010-01-01	3,457
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	3,457
Number of participants with account balances	2010-01-01	3,457
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	113
2009: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1,711
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	2,554
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	145
Total of all active and inactive participants	2009-01-01	2,699
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	2,699
Number of participants with account balances	2009-01-01	2,699
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	79

Financial Data on STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST

Measure	Date	Value
2013 : STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2013-11-08	$0
Total unrealized appreciation/depreciation of assets	2013-11-08	$0
Total transfer of assets from this plan	2013-11-08	$32,157,125
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-11-08	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-11-08	$139,006
Expenses. Interest paid	2013-11-08	$694
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-11-08	$694
Total income from all sources (including contributions)	2013-11-08	$7,917,565
Total loss/gain on sale of assets	2013-11-08	$7,777,867
Total of all expenses incurred	2013-11-08	$1,548,704
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-11-08	$1,548,010
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-11-08	$139,698
Value of total assets at end of year	2013-11-08	$0
Value of total assets at beginning of year	2013-11-08	$25,927,270
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-11-08	$0
Total interest from all sources	2013-11-08	$0
Total dividends received (eg from common stock, registered investment company shares)	2013-11-08	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-11-08	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-11-08	$0
Was this plan covered by a fidelity bond	2013-11-08	Yes
Value of fidelity bond cover	2013-11-08	$10,000,000
If this is an individual account plan, was there a blackout period	2013-11-08	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-11-08	$0
Were there any nonexempt tranactions with any party-in-interest	2013-11-08	No
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-11-08	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-11-08	$1,376
Total non interest bearing cash at end of year	2013-11-08	$0
Total non interest bearing cash at beginning of year	2013-11-08	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-11-08	No
Value of net income/loss	2013-11-08	$6,368,861
Value of net assets at end of year (total assets less liabilities)	2013-11-08	$0
Value of net assets at beginning of year (total assets less liabilities)	2013-11-08	$25,788,264
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-11-08	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-11-08	No
Were any leases to which the plan was party in default or uncollectible	2013-11-08	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-11-08	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-11-08	$151,233
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-11-08	$151,233
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-11-08	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-11-08	No
Was there a failure to transmit to the plan any participant contributions	2013-11-08	No
Has the plan failed to provide any benefit when due under the plan	2013-11-08	No
Assets. Invements in employer securities at end of year	2013-11-08	$0
Assets. Invements in employer securities at beginning of year	2013-11-08	$25,776,037
Contributions received in cash from employer	2013-11-08	$139,698
Employer contributions (assets) at end of year	2013-11-08	$0
Employer contributions (assets) at beginning of year	2013-11-08	$0
Income. Dividends from common stock	2013-11-08	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-11-08	$1,548,010
Did the plan have assets held for investment	2013-11-08	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-11-08	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-11-08	Yes
Aggregate proceeds on sale of assets	2013-11-08	$33,705,134
Aggregate carrying amount (costs) on sale of assets	2013-11-08	$25,927,267
Liabilities. Value of acquisition indebtedness at beginning of year	2013-11-08	$137,630
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-11-08	No
Opinion of an independent qualified public accountant for this plan	2013-11-08	Unqualified
Accountancy firm name	2013-11-08	BKD, LLP
Accountancy firm EIN	2013-11-08	440160260
2012 : STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$-64,489
Total unrealized appreciation/depreciation of assets	2012-12-31	$-64,489
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$139,006
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$408,856
Expenses. Interest paid	2012-12-31	$9,546
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-12-31	$9,546
Total income from all sources (including contributions)	2012-12-31	$270,510
Total loss/gain on sale of assets	2012-12-31	$55,603
Total of all expenses incurred	2012-12-31	$1,282,983
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,273,437
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$279,396
Value of total assets at end of year	2012-12-31	$25,927,270
Value of total assets at beginning of year	2012-12-31	$27,209,593
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$0
Total interest from all sources	2012-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$1,376
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$4,048
Other income not declared elsewhere	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$-1,012,473
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$25,788,264
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$26,800,737
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$151,233
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$151,233
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$151,233
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Assets. Invements in employer securities at end of year	2012-12-31	$25,776,037
Assets. Invements in employer securities at beginning of year	2012-12-31	$27,058,360
Contributions received in cash from employer	2012-12-31	$279,396
Income. Dividends from common stock	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,273,437
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$1,273,437
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$1,217,834
Liabilities. Value of acquisition indebtedness at end of year	2012-12-31	$137,630
Liabilities. Value of acquisition indebtedness at beginning of year	2012-12-31	$404,808
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	BKD, LLP
Accountancy firm EIN	2012-12-31	440160260
2011 : STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets	2011-12-31	$-9,112,315
Total unrealized appreciation/depreciation of assets	2011-12-31	$-9,112,315
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$408,856
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$668,176
Total income from all sources (including contributions)	2011-12-31	$-7,744,573
Total loss/gain on sale of assets	2011-12-31	$1,088,347
Total of all expenses incurred	2011-12-31	$1,365,995
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,345,919
Expenses. Certain deemed distributions of participant loans	2011-12-31	$20,076
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$279,395
Value of total assets at end of year	2011-12-31	$27,209,593
Value of total assets at beginning of year	2011-12-31	$36,579,481
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$4,048
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$6,616
Administrative expenses (other) incurred	2011-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-9,110,568
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$26,800,737
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$35,911,305
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$151,233
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$151,233
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$151,233
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$27,058,360
Assets. Invements in employer securities at beginning of year	2011-12-31	$36,428,248
Contributions received in cash from employer	2011-12-31	$279,395
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,345,919
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$1,345,919
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$257,572
Liabilities. Value of acquisition indebtedness at end of year	2011-12-31	$404,808
Liabilities. Value of acquisition indebtedness at beginning of year	2011-12-31	$661,560
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	BKD, LLP
Accountancy firm EIN	2011-12-31	440160260
2010 : STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$1,644,069
Total unrealized appreciation/depreciation of assets	2010-12-31	$1,644,069
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$668,176
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$917,377
Expenses. Interest paid	2010-12-31	$30,194
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2010-12-31	$30,194
Total income from all sources (including contributions)	2010-12-31	$1,775,653
Total loss/gain on sale of assets	2010-12-31	$-147,813
Total of all expenses incurred	2010-12-31	$900,924
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$870,730
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$279,395
Value of total assets at end of year	2010-12-31	$36,579,481
Value of total assets at beginning of year	2010-12-31	$35,953,953
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$2
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$6,616
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$9,083
Total non interest bearing cash at end of year	2010-12-31	$0
Total non interest bearing cash at beginning of year	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$874,729
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$35,911,305
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$35,036,576
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$151,233
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$151,233
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$151,233
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$2
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$36,428,248
Assets. Invements in employer securities at beginning of year	2010-12-31	$35,802,720
Contributions received in cash from employer	2010-12-31	$279,395
Employer contributions (assets) at end of year	2010-12-31	$0
Employer contributions (assets) at beginning of year	2010-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$870,730
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$870,730
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$1,018,543
Liabilities. Value of acquisition indebtedness at end of year	2010-12-31	$661,560
Liabilities. Value of acquisition indebtedness at beginning of year	2010-12-31	$908,294
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	BKD, LLP
Accountancy firm EIN	2010-12-31	440160260
2009 : STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST

2013: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: STIFEL FINANCIAL CORP. STOCK OWNERSHIP PLAN & TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	STIFEL FINANCIAL CORP.
Employer identification number (EIN):	431273600
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	0929371