SA
Sailing D. Adler
STIFEL, NICOLAUS & COMPANY
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 2602428
SA
Professional summary
Sailing David Adler, who also goes by Sailing David Adlelr, Sailing D Adler, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Boston, Massachusetts.
Sailing is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Sailing has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sailing David Adlelr | Sailing D Adler
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 Sailing David Adler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sailing David Adler'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
August 2, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 125 High Street, Boston, MA 02110RIA
BD
CRD#: 793
BOSTON, MA
Current
August 1, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 125 High Street, Boston, MA 02110RIA
BD
CRD#: 793
BOSTON, MA
Past
October 1, 2012 - August 15, 2016
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
BOSTON, MA
Past
September 28, 2012 - August 15, 2016
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
BOSTON, MA
Past
November 10, 2009 - October 1, 2012
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
BOSTON, MA
Past
November 10, 2009 - October 1, 2012
OPPENHEIMER & CO. INC.
BD
CRD#: 249
BOSTON, MA
Past
September 4, 2009 - November 27, 2009
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
BOSTON, MA
Past
July 13, 2007 - November 27, 2009
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
BOSTON, MA
Past
May 10, 2004 - November 9, 2005
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
Past
November 26, 2002 - October 7, 2003
CREDIT SUISSE PRIVATE ADVISORS AG
BD
CRD#: 112892
ZURICH,
Past
July 12, 2002 - October 29, 2002
BEAUMONT FINANCIAL PARTNERS LLC
RIA
CRD#: 108345
WELLESLEY HILLS, MA
Past
June 12, 2002 - October 16, 2002
CANTELLA & CO., INC.
BD
CRD#: 13905
MALDEN, MA
Past
April 10, 2001 - May 23, 2002
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 3, 2000 - April 9, 2001
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
January 6, 1998 - March 17, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
May 6, 1996 - January 6, 1998
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
May 26, 1995 - April 10, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(8/1/2016)
RR
Arizona(12/19/2023)
RR
California(8/1/2016)
IAR
California(12/6/2022)
RR
Colorado(8/1/2016)
RR
Connecticut(1/29/2018)
RR
Delaware(9/25/2018)
RR
Florida(8/1/2016)
RR
Georgia(12/19/2023)
RR
Illinois(10/29/2018)
RR
Iowa(12/19/2023)
RR
Kansas(6/15/2018)
RR
Kentucky(12/19/2023)
RR
Maine(12/19/2023)
RR
Maryland(1/19/2023)
RR
Massachusetts(8/1/2016)
RR
Michigan(8/1/2016)
RR
Mississippi(6/21/2024)
RR
Missouri(6/28/2024)
RR
Nevada(3/27/2023)
RR
New Hampshire(8/1/2016)
RR
New Jersey(8/1/2016)
RR
New York(8/1/2016)
RR
North Carolina(8/22/2016)
RR
Pennsylvania(12/19/2023)
RR
Rhode Island(12/19/2023)
RR
South Carolina(10/30/2023)
RR
Texas(3/5/2018)
IAR
Texas(3/8/2018)
RR
Vermont(9/13/2022)
RR
Virginia(8/17/2016)
RR
Washington(4/2/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Boston, MA 02110TRUST BUT VERIFY
Monitor Sailing Adler
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
