DR
David J. Raabe
STIFEL, NICOLAUS & COMPANY
Marion, IN 46952
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CRD#: 2148468
DR
Professional summary
David Jay Raabe is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Marion, Indiana.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, 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. Gemmill Foundation; 402 So Washington St, Marion, IN 46952; Award scholarships to Law students and undergrads; Chairman of the Board of Directors; Facilitate annual meeting and make decisions on scholarships; 03/01/1992; 3 Hours per Year; During Securities Trading Hours; Not Investment-Related. 2. Marion Aero Club; 901 W. Third St Marion IN 46952; Social Club; Board of Director/Member; Oversee club function; 01/01/1976; 1.00 Hour(s) Per Month; not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view David Jay Raabe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Jay Raabe'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
April 24, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 301 So. Adams Street, Marion, IN 46952Office #2: 7030 Pointe Inverness Way Suite 310, Fort Wayne, IN 46804RIA
BD
CRD#: 793
Marion, IN
Current
April 24, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 7030 Pointe Inverness Way Suite 310, Fort Wayne, IN 46804RIA
BD
CRD#: 793
Fort Wayne, IN
Past
March 31, 2009 - April 3, 2014
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MARION, IN
Past
March 31, 2009 - April 3, 2014
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MARION, IN
Past
July 30, 2002 - March 31, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
MARION, IN
Past
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
May 20, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
July 14, 1995 - March 31, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
MARION, IN
Past
July 30, 1991 - July 14, 1995
RAFFENSPERGER, HUGHES & CO., INC.
BD
CRD#: 699
INDIANAPOLIS, IN
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
Arizona(5/31/2018)
RR
Colorado(11/2/2020)
RR
Florida(7/25/2014)
RR
Georgia(8/27/2021)
RR
Indiana(4/24/2014)
IAR
Indiana(4/24/2014)
RR
Michigan(5/21/2014)
RR
North Carolina(1/12/2017)
RR
Ohio(4/24/2014)
RR
Pennsylvania(4/24/2014)
RR
South Carolina(4/24/2014)
RR
Tennessee(8/22/2017)
IAR
Texas(4/24/2014)
RR
Texas(10/1/2020)
RR
Wisconsin(6/2/2017)
Exams
State Security Law Exam
State Security Law Exam
General 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Marion, IN 46952TRUST BUT VERIFY
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