Form D

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
STIFEL FINANCIAL CORP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

ATTN: JAMES G. LASCHOBER
501 N. BROADWAY
ST. LOUIS, MO 63102-2102
Phone Number: subscription required

Item 3. Related Persons

Name
RONALD J. KRUSZEWSKI
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CHAIRMAN OF THE BOARD OF DIRECTORS AND CHIEF EXECUTIVE OFFICER

Item 3. Related Persons

Name
THOMAS W. WEISEL
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CHAIRMAN OF THE BOARD OF DIRECTORS

Item 3. Related Persons

Name
BRUCE A. BEDA
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
MICHAEL W. BROWN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
CHARLES A. DILL
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JOHN P. DUBINSKY
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
ROBERT E. GRADY
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
FREDERICK O. HANSER
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
RICHARD J. HIMELFARB
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
VICE CHAIRMAN, SENIOR VICE PRESIDENT AND DIRECTOR

Item 3. Related Persons

Name
ALTON F. IRBY III
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
THOMAS B. MICHAUD
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
PRESIDENT AND CHIEF EXECUTIVE OFFICER OF KEEFE, BRUYETTE WOODS AND DIRECTOR

Item 3. Related Persons

Name
THOMAS P. MULROY
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CO-PRESIDENT, CO-DIRECTOR OF INSTITUTIONAL GROUP AND DIRECTOR

Item 3. Related Persons

Name
VICTOR J. NESI
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CO-PRESIDENT, CO-DIRECTOR OF INSTITUTIONAL GROUP AND DIRECTOR

Item 3. Related Persons

Name
JAMES M. OATES
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
BEN A. PLOTKIN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
VICE CHAIRMAN AND SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
KELVIN R. WESTBROOK
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JAMES M. ZEMLYAK
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CO-PRESIDENT, CHIEF FINANCIAL OFFICER AND DIRECTOR

Item 3. Related Persons

Name
MICHAEL J. ZIMMERMAN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JAMES M. MARISCHEN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT AND CHIEF RISK OFFICER

Item 3. Related Persons

Name
DAVID D. SLINEY
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT

Item 3. Related Persons

Name
MARK P. FISHER
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT, GENERAL COUNSEL AND CO-CORPORATE SECRETARY

Item 3. Related Persons

Name
DAVID M. MINNICK
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
SENIOR VICE PRESIDENT, GENERAL COUNSEL AND CO-CORPORATE SECRETARY

Item 4. Industry Group

OTHER BANKING AND FINANCIAL SERVICES

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
OVER $100,000,000

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

New Notice
Date of First Sale in this Offering:
06/05/2015

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
No

Item 9. Type(s) of Securities Offered

  • Equity

Item 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
Yes
Clarification of Response

Item 11. Minimum Investment

Minimum Investment accepted from any outside investor
0

Item 13. Offering and Sales Amounts

Total Offering Amount
73199144
Total Amount Sold
73199144
Total Remaining to be Sold
0
Clarification of Response

Item 14. Investors

Securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
433

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response

Item 16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response

Signature and Submission

Issuer Name
STIFEL FINANCIAL CORP
Issuer Signature
/S/ MARK P. FISHER
Signer Name
MARK P. FISHER
Signer Title
SENIOR VP, CO-CORPORATE SECRETARY GENERAL COUNSEL
Signature Date
06/17/2015

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