SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A NO. 1
(Mark One)
/ x / QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the quarterly period ended September 30, 1994
OR
/ / TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the transition period from __________ to __________
Commission file number 1-9305
STIFEL FINANCIAL CORP.
(Exact name of registrant as specified in its charter)
DELAWARE 43-1273600
(State or other jurisdiction of (I.R.S. Employer Identification No.)
incorporation or organization)
500 N. Broadway, St. Louis, Missouri 63102-2188
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code 314-342-2000
_____________________________________________________
(Former name, former address, and former fiscal year,
if changed since last report)
Indicate by check mark whether the registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of
1934 during the preceding 12 months (or for such shorter period that the
registrant was required to file such reports) and (2) has been subject to
such filing requirements for the past 90 days. Yes / x / No / /
Shares of common stock outstanding at September 30, 1994: 3,891,419 par
value $.15.
<PAGE>
Pursuant to the Securities Exchange Act of 1934 and Regulation S-T of the
Securities and Exchange Commission, the registrant is filing this Form 10-Q/A
No. 1 in order to amend the Exhibit 27, Financial Data Schedule, for the
nine-month year to date period ended September 30, 1994.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf by the
undersigned thereunto duly authorized.
STIFEL FINANCIAL CORP.
(Registrant)
Date: November 21, 1994 By /s/ Gregory F. Taylor
Gregory F. Taylor
(Chief Executive Officer)
Date: November 21, 1994 By /s/ Mark D. Knott
Mark D. Knott
(Principal Financial Officer)
<PAGE>
EXHIBIT INDEX
Exhibit
Number Description
-------------- -----------------------------------
27 Financial Data Schedule
<TABLE> <S> <C>
<ARTICLE> BD
<LEGEND>
THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM THE
CONSOLIDATED STATEMENT OF FINANCIAL CONDITION DATED SEPTEMBER 30, 1994 AND
THE STATEMENT OF OPERATIONS FOR THE NINE MONTHS ENDED SEPTEMBER 30, 1994 AND
IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS.
</LEGEND>
<S> <C>
<PERIOD-TYPE> 9-MOS
<FISCAL-YEAR-END> DEC-31-1994
<PERIOD-START> JAN-01-1994
<PERIOD-END> SEP-30-1994
<CASH> 6,514,737
<RECEIVABLES> 172,731,843
<SECURITIES-RESALE> 0
<SECURITIES-BORROWED> 3,342,063
<INSTRUMENTS-OWNED> 19,039,022
<PP&E> 4,496,698
<TOTAL-ASSETS> 220,655,163
<SHORT-TERM> 64,600,000
<PAYABLES> 56,334,627
<REPOS-SOLD> 0
<SECURITIES-LOANED> 42,600,839
<INSTRUMENTS-SOLD> 7,363,375
<LONG-TERM> 10,760,000
<COMMON> 617,886
0
0
<OTHER-SE> 38,378,436
<TOTAL-LIABILITY-AND-EQUITY> 220,655,163
<TRADING-REVENUE> 16,659,807
<INTEREST-DIVIDENDS> 7,939,749
<COMMISSIONS> 30,406,740
<INVESTMENT-BANKING-REVENUES> 9,930,380
<FEE-REVENUE> 1,928,788
<INTEREST-EXPENSE> 4,312,391
<COMPENSATION> 46,066,914
<INCOME-PRETAX> (1,615,653)
<INCOME-PRE-EXTRAORDINARY> (1,615,653)
<EXTRAORDINARY> 0
<CHANGES> 0
<NET-INCOME> (972,015)
<EPS-PRIMARY> (0.24)
<EPS-DILUTED> (0.24)
</TABLE>
