DD
Diana G. Dorn
STIFEL, NICOLAUS & COMPANY
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 1088981
DD
Professional summary
Diana Gayle Dorn is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in San Francisco, California.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Diana has worked at 17 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 53, Series 24, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Diana Gayle Dorn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diana Gayle Dorn's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 27, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104RIA
BD
CRD#: 793
San Francisco, CA
Current
January 27, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104RIA
BD
CRD#: 793
San Francisco, CA
Past
January 3, 2011 - January 4, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
SAN FRANCISCO, CA
Past
January 3, 2011 - March 28, 2012
THOMAS WEISEL PARTNERS LLC
RIA
CRD#: 46237
SAN FRANCISCO, CA
Past
January 3, 2011 - January 4, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
SAN FRANCISCO, CA
Past
January 3, 2011 - May 17, 2012
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
October 29, 2010 - December 22, 2010
LWI FINANCIAL INC.
RIA
CRD#: 111861
SAN JOSE, CA
Past
October 29, 2010 - December 22, 2010
LORING WARD SECURITIES INC.
BD
CRD#: 46337
SAN JOSE, CA
Past
April 26, 2010 - August 30, 2010
INDEPENDENT ADVISERS GROUP CORP
RIA
CRD#: 106684
SAN DIEGO, CA
Past
April 26, 2010 - August 30, 2010
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
Past
April 26, 2010 - August 30, 2010
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
April 26, 2010 - August 30, 2010
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
June 22, 2009 - August 30, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
November 22, 2005 - August 30, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
November 22, 2005 - August 30, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
June 13, 2005 - August 19, 2005
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
May 27, 2004 - September 17, 2004
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
CHICAGO, IL
Past
January 19, 2001 - June 13, 2005
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
November 24, 1999 - March 29, 2000
SHARE KING, LLC
BD
CRD#: 33150
SAN FRANCISCO, CA
Past
February 8, 1999 - November 5, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
November 22, 1994 - November 5, 1999
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
September 21, 1983 - November 2, 1994
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
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)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/27/2012)
RR
Alaska(3/7/2012)
RR
Arizona(1/27/2012)
RR
Arkansas(1/27/2012)
RR
California(1/27/2012)
IAR
California(1/27/2012)
RR
Colorado(1/27/2012)
RR
Connecticut(1/27/2012)
RR
Delaware(1/27/2012)
RR
District of Columbia(1/27/2012)
RR
Florida(1/27/2012)
RR
Georgia(1/27/2012)
RR
Hawaii(1/27/2012)
RR
Idaho(1/27/2012)
RR
Illinois(1/27/2012)
RR
Indiana(3/16/2012)
RR
Iowa(1/27/2012)
RR
Kansas(1/27/2012)
RR
Kentucky(1/27/2012)
RR
Louisiana(1/27/2012)
RR
Maine(1/27/2012)
RR
Maryland(1/27/2012)
RR
Massachusetts(3/7/2012)
RR
Michigan(1/27/2012)
RR
Minnesota(1/27/2012)
RR
Mississippi(1/27/2012)
RR
Missouri(1/27/2012)
RR
Montana(1/27/2012)
RR
Nebraska(3/13/2012)
RR
Nevada(4/16/2012)
RR
New Hampshire(1/27/2012)
RR
New Jersey(1/27/2012)
RR
New Mexico(1/27/2012)
RR
New York(1/27/2012)
RR
North Carolina(3/7/2012)
RR
North Dakota(1/27/2012)
RR
Ohio(3/8/2012)
RR
Oklahoma(1/27/2012)
RR
Oregon(3/9/2012)
RR
Pennsylvania(3/19/2012)
RR
Puerto Rico(1/27/2012)
RR
Rhode Island(1/27/2012)
RR
South Carolina(1/27/2012)
RR
South Dakota(1/27/2012)
RR
Tennessee(1/27/2012)
RR
Texas(1/27/2012)
RR
Utah(2/21/2012)
RR
Vermont(1/27/2012)
RR
Virginia(5/1/2012)
RR
Washington(1/27/2012)
RR
West Virginia(3/8/2012)
RR
Wisconsin(1/27/2012)
RR
Wyoming(1/27/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/2/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
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)BD
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
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 | ||
| 12/19/2023 |
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793San Francisco, CA 94104TRUST BUT VERIFY
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Contact information
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