DW
David A. Weiner
STIFEL, NICOLAUS & COMPANY
WHITE PLAINS, NY 10604
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CRD#: 1454195
DW
Professional summary
David Alan Weiner is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in White Plains, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 3, Series 7 and Series 24 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.
1. Ladder Capital Corp; 320 Park Avenue NY NY 10022; Commercial real estate finance company; Board Member; 6/4/19; 30 Hrs/Yr; During securities trading hours; Investment-Related. 2. Ladder Capital Corp; 320 Park Avenue NY NY 10022; Commercial real estate finance company; Audit committee member; 6/4/19; 30 hr/yr; During securities trading hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view David Alan Weiner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Alan Weiner'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 30, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 4 West Red Oak Lane, Suite 101, White Plains, NY 10604RIA
BD
CRD#: 793
WHITE PLAINS, NY
Current
February 2, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 4 West Red Oak Lane, Suite 101, White Plains, NY 10604RIA
BD
CRD#: 793
WHITE PLAINS, NY
Past
February 22, 2013 - November 25, 2014
CHROME CAPITAL MANAGEMENT, LLC
RIA
CRD#: 165497
WHITE PLAINS, NY
Past
February 29, 2008 - August 19, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
April 7, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
May 1, 2003 - April 2, 2004
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
Past
October 18, 2002 - April 10, 2003
CAL FP (US), INC.
BD
CRD#: 37412
NEW YORK, NY
Past
June 29, 1998 - October 14, 2002
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
January 3, 1995 - September 2, 1997
SBC WARBURG, INC.
BD
CRD#: 23745
NEW YORK, NY
Past
November 2, 1992 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
BD
CRD#: 4341
NEW YORK, NY
Past
April 26, 1991 - November 4, 1992
SBC WARBURG, INC.
BD
CRD#: 23745
NEW YORK, NY
Past
March 10, 1989 - February 5, 1991
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
BD
CRD#: 23179
Past
November 22, 1988 - March 4, 1989
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
February 19, 1986 - March 4, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
Alaska(2/18/2015)
RR
California(2/18/2015)
RR
Connecticut(2/17/2015)
RR
Florida(2/19/2015)
RR
Massachusetts(2/18/2015)
RR
New Jersey(3/10/2015)
RR
New York(2/6/2015)
IAR
New York(5/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/14/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
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.
