David W. Fleming

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CRD#: 1021968

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Wilson Fleming JR, who also goes by David Wilson Fleming II, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1982. David had worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Wilson Fleming Ii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 7, 2015 - August 3, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

WHITE PLAINS, NY

Past

July 7, 2015 - August 3, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

WHITE PLAINS, NY

Past

November 6, 2014 - July 7, 2015

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

NEW YORK, NY

Past

November 6, 2014 - July 7, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEW YORK, NY

Past

November 9, 2010 - November 20, 2014

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

GREENWICH, CT

Past

November 5, 2010 - November 20, 2014

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

GREENWICH, CT

Past

May 3, 2007 - November 9, 2010

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

STAMFORD, CT

Past

May 3, 2007 - November 9, 2010

OPPENHEIMER & CO. INC.

CRD#: 249

STAMFORD, CT

Past

March 11, 2005 - May 1, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

OLD GREENWICH, CT

Past

May 1, 2001 - May 1, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

OLD GREENWICH, CT

Past

January 13, 2001 - May 17, 2001

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

June 19, 1998 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

September 27, 1994 - June 23, 1998

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 15, 1992 - September 28, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 11, 1990 - June 9, 1992

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 25, 1988 - July 30, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 22, 1986 - July 6, 1987

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

June 2, 1986 - December 4, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 8, 1985 - May 27, 1986

FAHNESTOCK INTERNATIONAL INC.

CRD#: 279

Past

July 10, 1985 - October 21, 1985

HORNBLOWER FISCHER & CO.

CRD#: 10885

Past

February 13, 1984 - August 15, 1984

JOHN P. HOLMES INVESTMENTS, INC.

CRD#: 10737

Past

April 12, 1983 - February 28, 1984

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

October 20, 1982 - February 2, 1983

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/19/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

501 North Broadway, St Louis, MO 63102

Mailing Address

501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-2000

Established

Missouri since 02/20/1900

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

6,464

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
AYD, PAUL JOSEPH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2963853
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP	4696103
BROOKS, PATRICK RODGERS	ROSFP - CAPITAL MARKETS	2223412
DODSON, CHARLES EDWARD	CCO ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL, SECRETARY	4970942
HYDE, GINA ELIZABETH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2812751
KRUSZEWSKI, RONALD JAMES	PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD	1434827
MELINGER, ADAM SCOTT	ROSFP - PCG	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
RAYMOND, CHARLES BRADFORD GREEN	CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY	2796106
SCHRICK, FREDERICK RICHARD	PRINCIPAL FINANCIAL OFFICER	5636488
SLINEY, DAVID DEAN	SENIOR VICE PRESIDENT & DIRECTOR	2276514
ZEMLYAK, JAMES MARK	EXECUTIVE VICE PRESIDENT & DIRECTOR	1586132

Regulatory assets under management

Total Number of Accounts	368,405
AUM (Assets Under Management)	$ 171,209,609,487

Disclosures

Regulatory Event	168
Civil Event	2
Arbitration	60
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
12/19/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David W. Fleming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

CIBC WORLD MARKETS CORP.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

FAHNESTOCK INTERNATIONAL INC.

HORNBLOWER FISCHER & CO.

JOHN P. HOLMES INVESTMENTS, INC.

PRUDENTIAL EQUITY GROUP, LLC

MOSELEY SECURITIES CORPORATION

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/1983

SIE

Date: 8/3/2017

Series 7

Date: 10/16/1982

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

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