Form 8-K






 


 



UNITED STATES



SECURITIES AND EXCHANGE COMMISSION


Washington, DC 20549


 



FORM 8-K


 



CURRENT REPORT


Pursuant To Section 13 OR 15(d) of the 


Securities Exchange Act of 1934


 


Date of Report (Date of earliest event reported):
November 9, 2011


 



STIFEL FINANCIAL CORP.


(Exact name of registrant as specified in its charter)


 


 





  
    
      
Delaware
(State of
      incorporation)

      
 

    
      
001-09305
(Commission File
      Number)

      
 

    
      
43-1273600
(IRS
      Employer
Identification No.)

      
 


 


One Financial Plaza


501 North Broadway


St. Louis, Missouri 63102-2102


(Address of principal executive offices, including zip code)


 


Registrant's telephone number, including area code:
(314) 342-2000


 


 





  
    
      
 

    
      
N/A

    
      
 

  
    
      
 

    
      
(Former name or former address, if changed since last
      report)

    
      
 


 


 


Check the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any of the
following provisions (see General
Instruction A.2. below):





o   Written communications pursuant to Rule 425 under the
Securities Act (17 CFR 230.425)




o   Soliciting material pursuant to Rule 14a-12 under the
Exchange Act (17 CFR 240.14a-12)




o   Pre-commencement communications pursuant to Rule
14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))




o   Pre-commencement communications pursuant to Rule
13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))



 




 








 


Item
2.02  Results of Operations and Financial Condition.





On November 9, 2011, Stifel Financial Corp. reported its financial results for
the three months ended September 30, 2011. A copy of
the related press release is attached hereto as Exhibit 99.1. The press
release includes a reference to core earnings per diluted common share.
Management believes this non-GAAP financial measure provides useful information
to investors because it excludes certain expenses, which are unrelated to
our primary business operations, and the exclusion of these charges helps
investors understand our operating results and underlying operational trends as
compared to prior periods.




Stifel Financial Corp. will hold a conference call on Wednesday, November 9, 2011, at
5:00 p.m. EST. This call will be webcast and slides can be
accessed on the Investor Relations portion of the Stifel Financial Corp. website
at www.stifel.com, as well as on all sites within Thomson/CCBN's Investor
Distribution Network. All interested parties are invited to participate by
dialing (888) 676-3684 and referencing conference ID #25587443.  The conference call slide show
is attached hereto as Exhibit 99.2.


The
exhibits are being furnished pursuant to Item 2.02, and the information
contained therein shall not be deemed "filed" for the purposes of Section 18 of
the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or
otherwise subject to the liabilities of that section, nor shall it be deemed
incorporated by reference in any filing under the Securities Act of 1933, as
amended, or the Exchange Act, except as shall be expressly set forth by specific
reference in such filing. 





Item 9.01   Financial Statements and Exhibits.


 





  
    
      

		(d) 

    
      

		Exhibits.


 


 





  
    
      

		Exhibit No.

    
      

		Description of Exhibit

  
    
      
 

    
      
 

  
    
      99.1
    
      Press release dated November 9, 2011.
  
    
      99.2
    
      Investor presentation.


 









 


SIGNATURE


 


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 hereunto duly authorized.


 


 





  
    
      
 

    
      
STIFEL FINANCIAL CORP.

  
    
      
 

    
      
 

    
      
 

  
    
      
 

    
      
 

    
      
 

  
    
      

		Date: November 9, 2011

    
      

		By:

    
      
/s/ James M. Zemlyak

  
    
      
 

    
      
 

    
      

		James M. Zemlyak

  
    
      
 

    
      
 

    
      

		Senior Vice President and Chief Financial
  Officer


 


 









 


EXHIBIT INDEX


 





  
    
      

		Exhibit No.

    
      

		Description of Exhibit

  
    
      
 

    
      
 

  
    
      99.1
    
      Press release dated November 9, 2011.
  
    
      99.2
    
      Investor presentation.