DH
David J. Harris
STIFEL, NICOLAUS & COMPANY
New York, NY 10019
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CRD#: 1299047
DH
Professional summary
David Jay Harris is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1984. David has worked at 7 firms and has passed the Series 63, Series 65, Series 57TO, Series 7TO, SIE, Series 57, Series 7, Series 55, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view David Jay Harris'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
August 22, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 787 7th Avenue, New York, NY 10019RIA
BD
CRD#: 793
New York, NY
Past
April 30, 2018 - October 16, 2019
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
July 24, 2003 - January 26, 2007
ACUITY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 127014
GREENWICH, CT
Past
February 19, 1998 - June 13, 2001
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
March 20, 1997 - February 19, 1998
NATWEST SECURITIES CORPORATION
BD
CRD#: 18238
NEW YORK, NY
Past
February 19, 1992 - February 25, 1997
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
September 20, 1984 - October 22, 1991
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
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.
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(9/15/2023)
RR
Alaska(9/15/2023)
RR
Arizona(9/15/2023)
RR
Arkansas(9/15/2023)
RR
California(9/15/2023)
RR
Colorado(9/15/2023)
RR
Connecticut(9/6/2023)
RR
Delaware(9/15/2023)
RR
District of Columbia(9/15/2023)
RR
Florida(9/15/2023)
RR
Georgia(9/15/2023)
RR
Hawaii(9/15/2023)
RR
Idaho(9/15/2023)
RR
Illinois(9/15/2023)
RR
Indiana(9/15/2023)
RR
Iowa(9/15/2023)
RR
Kansas(9/15/2023)
RR
Kentucky(9/15/2023)
RR
Louisiana(9/15/2023)
RR
Maine(9/15/2023)
RR
Maryland(9/15/2023)
RR
Massachusetts(9/15/2023)
RR
Michigan(9/15/2023)
RR
Minnesota(9/15/2023)
RR
Mississippi(9/15/2023)
RR
Missouri(9/15/2023)
RR
Montana(9/15/2023)
RR
Nebraska(9/15/2023)
RR
Nevada(9/15/2023)
RR
New Hampshire(9/15/2023)
RR
New Jersey(9/15/2023)
RR
New Mexico(9/15/2023)
RR
New York(9/6/2023)
RR
North Carolina(9/20/2023)
RR
North Dakota(9/15/2023)
RR
Ohio(9/18/2023)
RR
Oklahoma(9/15/2023)
RR
Oregon(9/15/2023)
RR
Pennsylvania(9/15/2023)
RR
Puerto Rico(9/15/2023)
RR
Rhode Island(9/15/2023)
RR
South Carolina(9/15/2023)
RR
South Dakota(9/15/2023)
RR
Tennessee(9/15/2023)
RR
Texas(9/15/2023)
RR
Utah(9/15/2023)
RR
Vermont(9/15/2023)
RR
Virgin Islands(9/15/2023)
RR
Virginia(9/15/2023)
RR
Washington(9/15/2023)
RR
West Virginia(9/15/2023)
RR
Wisconsin(9/15/2023)
RR
Wyoming(9/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 9/14/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 8/22/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/7/2000
Limited Representative-Equity Trader ExamPrincipal/Supervisory Exam
RR
Series 8
Date: 9/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, 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.
