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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

CITY SECURITIES CORPORATION

CRD 1459

INDIANAPOLIS, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7eee2623-d2a6-75e5-531c-a593d91c163b

Data as of Feb 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 75
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2011 to Feb 27, 2017
50 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $949MItem 5.F on the latest filing (2017-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $244M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 84
Advisory employees: 54
Accounts: 3,442
Custody, client assets: $893M
SEC number: 801-67527
CRD: 1459
Filings on the tape: 50
First filed: Dec 16, 2011
Latest filed: Feb 27, 2017
Organised: Corporation, Indiana

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ARMSTRONG, ANDY JOHN	SRVP/CCO	Na	yes	04/2016	Apr 26, 2016	Feb 27, 2017
BOSWAY, MICHAEL EDWARD	PRESIDENT/CEO	Na	yes	01/1998	Dec 16, 2011	Feb 27, 2017
CITY SECURITIES, LLC	HOLDING COMPANY	E	yes	01/2017	Jan 6, 2017	Feb 27, 2017
DIGAETANO, RAYMOND ANTHONY	EVP/PRIVATE CLIENT SERVICES	Na	yes	01/2013	Jan 8, 2013	Feb 27, 2017
STIFEL FINANCIAL CORP	Shareholder	E	yes	01/2017	Jan 6, 2017	Feb 27, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
STIFEL, NICOLAUS & COMPANY, INCORPORATED	n/a	National bd RIA	$198B	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
CROWN POINT	In	United States	n/a	no
FT. WAYNE	In	United States	n/a	no
Indianapolis	In	United States	n/a	no
Lafayette	In	United States	n/a	no
Muncie	In	United States	n/a	no
SOUTH BEND	In	United States	n/a	no
Zionsville	In	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Dec 19, 2016	$949M	$244M	84	54	n/a	n/a	n/a
2015	Dec 7, 2015	$803M	$129M	115	60	n/a	n/a	n/a
2014	Dec 11, 2014	$797M	$120M	115	60	n/a	n/a	n/a
2013	Dec 10, 2013	$764M	$107M	115	60	n/a	n/a	n/a
2012	Dec 20, 2012	$632M	$141M	135	75	n/a	n/a	n/a
2011	Dec 20, 2011	$537M	$105M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$949M	$803M	18.1%	$764M	7.5%	84	115	n/a	n/a

Relationships

Affiliated with (1)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV

Controls (5)

← BOSWAY, MICHAEL EDWARDOwnerPRESIDENT/CEO, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV
← DIGAETANO, RAYMOND ANTHONYOwnerEVP/PRIVATE CLIENT SERVICES, ownership code NA, individual
Jan 8, 2013 to presentfactForm ADV
← ARMSTRONG, ANDY JOHNOwnerSRVP/CCO, ownership code NA, individual
Apr 26, 2016 to presentfactForm ADV
← CITY SECURITIES, LLCOwnerHOLDING COMPANY, ownership code E, domestic entity
Jan 6, 2017 to presentfactForm ADV
← STIFEL FINANCIAL CORPOwnerSHAREHOLDER, ownership code E, domestic entity
Jan 6, 2017 to presentfactForm ADV

Registered with (67)

← JOHN JOSEPH KENNEDYAdvisorregistration: previous registration
Jan 10, 2013 to Feb 28, 2017factForm ADV
← SUZANNE M MARSHALLAdvisorregistration: previous registration
Oct 8, 2010 to Feb 28, 2017factForm ADV
← MALCOLM RICHARDSON FROSTAdvisorregistration: previous registration
Feb 15, 2006 to Feb 28, 2017factForm ADV
← BONITA ANNE PREWETT STRAUBAdvisorregistration: previous registration
Apr 14, 2004 to Feb 28, 2017factForm ADV
← JACK HOWARD EBBELERAdvisorregistration: previous registration
Nov 6, 2007 to Feb 28, 2017factForm ADV
← KATHY FRANCINE DALYAdvisorregistration: previous registration
Apr 14, 2004 to Feb 28, 2017factForm ADV
← PAUL CHRISTOPHER DIETZAdvisorregistration: previous registration
Sep 21, 2007 to Feb 28, 2017factForm ADV
← PATRICIA CARRUTHERS HORNERAdvisorregistration: previous registration
Jan 1, 2006 to Feb 28, 2017factForm ADV
← JOHN FREDERICK WHITAKERAdvisorregistration: previous registration
Apr 18, 2013 to Feb 28, 2017factForm ADV
← Teia E StapletonAdvisorregistration: previous registration
Feb 23, 2006 to Feb 28, 2017factForm ADV
← SHARON MARIE WILLIAMSAdvisorregistration: previous registration
Jul 13, 2009 to Feb 28, 2017factForm ADV
← LESLIE ANN SHAWAdvisorregistration: previous registration
Mar 29, 2011 to Feb 28, 2017factForm ADV
← TIMOTHY RUSSELL HARRISAdvisorregistration: previous registration
Mar 4, 2009 to Feb 28, 2017factForm ADV
← JACK MICHAEL HARLOSAdvisorregistration: previous registration
Feb 13, 2009 to Feb 28, 2017factForm ADV
← GREGORY JAMES MATTHEWSAdvisorregistration: previous registration
Jun 12, 2009 to Feb 28, 2017factForm ADV
← THOMAS ALAN WELCHAdvisorregistration: previous registration
Jan 15, 2010 to Feb 28, 2017factForm ADV
← ANDREW EVERETT GLEAVESAdvisorregistration: previous registration
Mar 4, 2009 to Feb 28, 2017factForm ADV
← THOMAS EDWARD DAVISAdvisorregistration: previous registration
Oct 7, 2002 to Feb 28, 2017factForm ADV
← CHERI LYNN JONESAdvisorregistration: previous registration
May 10, 2011 to Feb 28, 2017factForm ADV
← DAMON CHASE NEWSOMAdvisorregistration: previous registration
Aug 21, 2008 to Feb 28, 2017factForm ADV
← JOHN CODY MILLERAdvisorregistration: previous registration
Oct 8, 2010 to Feb 28, 2017factForm ADV
← MATTHEW ROBERT BURNETTAdvisorregistration: previous registration
Feb 9, 2006 to Feb 28, 2017factForm ADV
← SHAWN ALLEN SABAUAdvisorregistration: previous registration
May 15, 2009 to Feb 28, 2017factForm ADV
← DANTE ALIGHIERI RAGGIOAdvisorregistration: previous registration
Apr 14, 2004 to Feb 28, 2017factForm ADV
← DIANE THERESE SOUTHAdvisorregistration: previous registration
May 20, 2008 to Feb 28, 2017factForm ADV
← SCOTT LYNN GILLESPIEAdvisorregistration: previous registration
Mar 14, 2007 to Feb 28, 2017factForm ADV
← MICHAEL LEE ROSEAdvisorregistration: previous registration
Aug 29, 2008 to Feb 28, 2017factForm ADV
← DEBRA LEE POWELLAdvisorregistration: previous registration
Apr 14, 2014 to Feb 28, 2017factForm ADV
← LEONARD EUGENE TANNERAdvisorregistration: previous registration
Oct 8, 2010 to Feb 28, 2017factForm ADV
← CHAD ROBERT KELLERAdvisorregistration: previous registration
Feb 28, 2006 to Feb 28, 2017factForm ADV
and 37 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7eee2623-d2a6-75e5-531c-a593d91c163b
First observed: Dec 16, 2011
Last observed: Feb 27, 2017 116 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CITY SECURITIES CORPORATION

CRD 1459

INDIANAPOLIS, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7eee2623-d2a6-75e5-531c-a593d91c163b

Data as of Feb 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ARMSTRONG, ANDY JOHN

SRVP/CCO

yes

04/2016

Apr 26, 2016

Feb 27, 2017

BOSWAY, MICHAEL EDWARD

PRESIDENT/CEO

yes

01/1998

Dec 16, 2011

Feb 27, 2017

CITY SECURITIES, LLC

HOLDING COMPANY

yes

01/2017

Jan 6, 2017

Feb 27, 2017

DIGAETANO, RAYMOND ANTHONY

EVP/PRIVATE CLIENT SERVICES

yes

01/2013

Jan 8, 2013

Feb 27, 2017

STIFEL FINANCIAL CORP

Shareholder

yes

01/2017

Jan 6, 2017

Feb 27, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STIFEL, NICOLAUS & COMPANY, INCORPORATED

n/a

National bd RIA

$198B

yes

n/a

City

State

Country

Employees

Also broker-dealer

CROWN POINT

United States

n/a

FT. WAYNE

United States

n/a

Indianapolis

United States

n/a

Lafayette

United States

n/a

Muncie

United States

n/a

SOUTH BEND

United States

n/a

Zionsville

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Dec 19, 2016

$949M

$244M

n/a

2015

Dec 7, 2015

$803M

$129M

115

n/a

2014

Dec 11, 2014

$797M

$120M

115

n/a

2013

Dec 10, 2013

$764M

$107M

115

n/a

2012

Dec 20, 2012

$632M

$141M

135

n/a

2011

Dec 20, 2011

$537M

$105M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$949M

$803M

18.1%

$764M

7.5%

115

n/a