DD
Diane S. Dawson
STIFEL, NICOLAUS & COMPANY
Westlake, OH 44145
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CRD#: 2045748
DD
Professional summary
Diane S Dawson, who also goes by Diane Sue Dawson, Diane Susan Dawson, Diane S Narewski, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Westlake, Ohio.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Diane has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diane Sue Dawson | Diane Susan Dawson | Diane S Narewski
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)Lineweaver Financial Group;investment related;9035 Sweet Valley Dr,Valley View,OH 44125;financial planning,insurance sales,brokerage accounts;new business processor & client service;7/2021;160 hrs/month;6 hrs during trading;process all new business & all client service activities
CRS (Client Relationship Summary) - RIA
Click below to view Diane S Dawson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diane S Dawson'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
October 15, 2024 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 27476 Detroit Road, Westlake, OH 44145RIA
BD
CRD#: 793
Westlake, OH
Current
October 15, 2024 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 27476 Detroit Road, Westlake, OH 44145RIA
BD
CRD#: 793
Westlake, OH
Past
November 23, 2022 - May 2, 2024
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
AKRON, OH
Past
November 22, 2022 - May 2, 2024
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
AKRON, OH
Past
January 5, 2022 - October 26, 2022
LINEWEAVER WEALTH ADVISORS
RIA
CRD#: 173310
VALLEY VIEW, OH
Past
July 19, 2021 - October 10, 2022
TRIAD ADVISORS LLC
BD
CRD#: 25803
Valley View, OH
Past
April 11, 2011 - July 20, 2021
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
CLEVELAND, OH
Past
April 11, 2011 - July 20, 2021
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
CLEVELAND, OH
Past
November 19, 2010 - April 21, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BATH, OH
Past
November 18, 2010 - April 21, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BATH, OH
Past
June 1, 2009 - October 29, 2010
MORGAN STANLEY
RIA
CRD#: 149777
WESTLAKE, OH
Past
June 1, 2009 - October 29, 2010
MORGAN STANLEY
BD
CRD#: 149777
WESTLAKE, OH
Past
February 27, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WESTLAKE, OH
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WESTLAKE, OH
Past
September 30, 1999 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
July 16, 1998 - November 16, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 3, 1995 - September 11, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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.
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(10/17/2024)
RR
Arizona(10/17/2024)
RR
Arkansas(10/17/2024)
RR
California(10/17/2024)
RR
Colorado(10/17/2024)
RR
Connecticut(10/17/2024)
RR
Florida(10/17/2024)
RR
Georgia(10/17/2024)
RR
Illinois(10/17/2024)
RR
Indiana(10/17/2024)
RR
Maryland(10/17/2024)
RR
Michigan(10/17/2024)
RR
Minnesota(10/17/2024)
RR
Missouri(10/17/2024)
RR
New Hampshire(10/17/2024)
RR
New Jersey(10/17/2024)
RR
New York(10/17/2024)
RR
North Carolina(10/18/2024)
RR
Ohio(10/15/2024)
IAR
Ohio(10/15/2024)
RR
Oregon(10/17/2024)
RR
Pennsylvania(10/17/2024)
RR
South Carolina(10/17/2024)
RR
South Dakota(10/17/2024)
RR
Tennessee(10/17/2024)
RR
Texas(10/17/2024)
RR
Washington(10/17/2024)
Exams
State Security Law Exam
State Security Law 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.
