DP
Darin P. Pope
STIFEL, NICOLAUS & COMPANY
Rye, NH
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CRD#: 1894306
DP
Professional summary
Darin Patrick Pope, CFP® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Rye, New Hampshire.
Darin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Darin has worked at 13 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 52, Series 6, Series 24 and Series 53 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.
B. Riley Wealth Insurance; Investment related; 40 South Main Street, Suite 1800, Memphis, TN 38104; Insurance products and services; Agent; start date 7/2022; 3 hrs/ month devoted during securities trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Darin Patrick Pope's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darin Patrick Pope'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®
Experience
Current
April 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #2: One New Hampshire Avenue Suite 112, Portsmouth, NH 03801RIA
BD
CRD#: 793
Rye, NH
Current
April 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One New Hampshire Avenue Suite 112, Portsmouth, NH 03801RIA
BD
CRD#: 793
Portsmouth, NH
Past
July 22, 2022 - April 4, 2025
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
MEMPHIS, TN
Past
September 13, 2020 - May 30, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
RYE, NH
Past
September 13, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
April 18, 2018 - September 24, 2020
FSIC
BD
CRD#: 37813
Rye, NH
Past
September 4, 2009 - April 2, 2018
SECURITIES AMERICA, INC.
BD
CRD#: 10205
NEW YORK, NY
Past
January 31, 2008 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
SECAUCUS, NJ
Past
January 3, 2007 - January 31, 2008
OSAIC WEALTH, INC.
BD
CRD#: 23131
SECAUCUS, NJ
Past
February 16, 2005 - September 17, 2020
UNITED ADVISORS
RIA
CRD#: 133668
NEW YORK, NY
Past
April 1, 2004 - January 12, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COLCHESTER, VT
Past
March 31, 2004 - January 12, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 1, 2001 - February 5, 2004
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
BURLINGTON, VT
Past
January 20, 2000 - February 5, 2004
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
December 5, 1996 - October 26, 1999
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
November 4, 1988 - April 10, 1989
UR FINANCIAL, INC.
BD
CRD#: 10509
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(4/4/2025)
RR
Arizona(4/4/2025)
RR
California(4/4/2025)
RR
Colorado(4/4/2025)
RR
Connecticut(4/4/2025)
RR
Delaware(4/4/2025)
RR
Florida(4/4/2025)
RR
Georgia(4/4/2025)
RR
Hawaii(4/4/2025)
RR
Idaho(4/4/2025)
RR
Illinois(4/4/2025)
RR
Indiana(4/4/2025)
RR
Kansas(4/4/2025)
RR
Kentucky(4/4/2025)
RR
Massachusetts(4/4/2025)
RR
Michigan(4/4/2025)
RR
Montana(4/4/2025)
RR
Nebraska(4/4/2025)
RR
New Hampshire(4/4/2025)
IAR
New Hampshire(4/4/2025)
RR
New Jersey(4/4/2025)
RR
New Mexico(4/4/2025)
RR
New York(4/4/2025)
RR
North Carolina(4/4/2025)
RR
Ohio(4/4/2025)
IAR
Ohio(4/11/2025)
RR
Oregon(4/4/2025)
RR
Pennsylvania(4/4/2025)
RR
Rhode Island(4/4/2025)
RR
South Carolina(4/4/2025)
RR
South Dakota(4/4/2025)
RR
Tennessee(4/4/2025)
RR
Texas(4/4/2025)
IAR
Texas(4/4/2025)
RR
Utah(4/4/2025)
RR
Vermont(4/4/2025)
RR
Virginia(4/4/2025)
RR
Washington(4/4/2025)
RR
West Virginia(4/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
