DT
Dale C. Teat
STIFEL, NICOLAUS & COMPANY
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 1889653
DT
Professional summary
Dale Cash Teat, who also goes by Dale Sue Cash, Dale C Teat, Dale Sue Teat, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Atlanta, Georgia.
Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Dale has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dale Sue Cash | Dale C Teat | Dale Sue Teat
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 Dale Cash Teat's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dale Cash Teat'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
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326RIA
BD
CRD#: 793
Atlanta, GA
Current
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326RIA
BD
CRD#: 793
Atlanta, GA
Past
August 20, 2012 - December 4, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
ATLANTA, GA
Past
August 17, 2012 - December 4, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
ATLANTA, GA
Past
January 31, 2007 - August 21, 2012
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ALPHARETTA, GA
Past
January 29, 2007 - August 21, 2012
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ALPHARETTA, GA
Past
December 19, 2003 - December 8, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ALPHARETTA, GA
Past
December 19, 2003 - December 8, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ALPHARETTA, GA
Past
August 12, 2003 - December 11, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ATLANTA, GA
Past
February 5, 2003 - December 11, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 18, 1998 - July 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 30, 1998 - September 23, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
April 22, 1997 - October 3, 1997
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
June 20, 1994 - September 23, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(12/4/2015)
RR
Alaska(8/12/2021)
RR
Arizona(12/4/2015)
RR
Arkansas(12/4/2015)
RR
California(12/4/2015)
RR
Colorado(12/4/2015)
RR
Connecticut(12/4/2015)
RR
Delaware(8/12/2021)
RR
District of Columbia(3/5/2020)
RR
Florida(12/4/2015)
RR
Georgia(12/4/2015)
IAR
Georgia(12/4/2015)
RR
Hawaii(3/30/2020)
RR
Illinois(12/4/2015)
RR
Indiana(12/4/2015)
RR
Iowa(3/5/2020)
RR
Kansas(3/5/2020)
RR
Kentucky(12/4/2015)
RR
Louisiana(12/4/2015)
RR
Maryland(6/18/2019)
RR
Massachusetts(12/4/2015)
RR
Michigan(12/4/2015)
RR
Minnesota(12/4/2015)
RR
Mississippi(3/5/2020)
RR
Missouri(12/4/2015)
RR
Montana(12/4/2015)
RR
Nebraska(2/1/2022)
RR
Nevada(12/4/2015)
RR
New Jersey(12/4/2015)
RR
New Mexico(3/30/2020)
RR
New York(12/4/2015)
RR
North Carolina(12/4/2015)
RR
Ohio(12/4/2015)
RR
Oklahoma(8/22/2023)
RR
Oregon(12/4/2015)
RR
Pennsylvania(12/4/2015)
RR
Rhode Island(3/5/2020)
RR
South Carolina(12/4/2015)
RR
South Dakota(3/5/2020)
RR
Tennessee(12/4/2015)
RR
Texas(12/4/2015)
IAR
Texas(12/4/2015)
RR
Utah(3/5/2020)
RR
Virginia(12/4/2015)
RR
Washington(12/4/2015)
RR
West Virginia(3/5/2020)
RR
Wisconsin(12/4/2015)
RR
Wyoming(5/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
