DM
Debra L. Moore
STIFEL, NICOLAUS & COMPANY
Canfield, OH 44406
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CRD#: 2841765
DM
Professional summary
Debra Lynn Moore, AIF® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Canfield, Ohio.
Debra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Debra has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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. Columbiana County LEPC; Community Emergency Response Team - CERT ; 215 S. Market St. Lisbon OH 44432; Works closely with the County EMA office and other county offices on items that concern the safety of the residents of Columbian; Executive Board Member; Quarterly meetings, affiliation started 01/20/2011; 10 hours per year; not during securities trading hours; not investment-related. 2. National Society, Children of the American Revolution; 1776 D St. NW Washington DC 20006-5303; C.A.R. trains good citizens, develops leaders and promotes love of the United States of America and its heritage among young people; Senior President, Point of Beginning Society; Monthly meetings with Children in local county. Semi annual State board meetings, Annual State Conference; affiliation started 04/11/2014; 108.00 hours per year; not during securities trading hours; not investment-related. 3. Eastern Ohio Martial Arts; PO Box 484 Lisbon OH 44432; Self Defense for Women and Children; President, Secretary and Head Instructor; Teaches a fitness class tow evenings per week; affiliation started 03/01/2016; 4.0 hours per week; not during securities trading hours; not investment-related. 4. Canfield Rotary Association;PO Box 11, Canfield OH 44406; Community Service; Finance Committee and a member of the Association management committee; 09/01/2010; 2.00 hr/mo; not during securities trading hours; not investment-related 5. Canfield Rotary Foundation Inc.; PO Box 11, Canfield OH 44406; Foundation Board Member - Review activities for 501c3 compliance, monitor for conflicts of interest; 01/01/2014; 2.00 Hour(s) Per Quarter;not during securities trading hours; not investment-related 6. Northeastern Ohio Christian Youth Camp;8122 St Jacobs Logtown Rd Lisbon OH 44432; Christian Youth Camp;General Board member;General Board oversight items , audit committee;10/9/19;8 hr/yr;not during securities trading hours; not investment related. 7. State of Ohio, Notary Public; 180 E Broad St 16th Floor, Columbus, OH 43215; Notary; 09/12/1983; 2 Hours per Year; During Securities Trading Hours; Investment-Related. 8. Columbiana County CERT ARC; 215 South Market St, Lisbon, OH 44432; CERT Amateur Radio Club; President; Oversee quarterly meetings; 07/30/2021; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 9. National Society Daughters of the American Revolution Southwick Griscom Kinney Chapter; 1776 D Street NW Washington DC 20006; Historical preservation, education; Local chapter regent; Run meetings, schedule programs; 7/11/22; 4 hours per Month; not during sec trading hours; Not Inv Related
CRS (Client Relationship Summary) - RIA
Click below to view Debra Lynn Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Debra Lynn Moore'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
September 25, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6575 Seville Drive, Canfield, OH 44406RIA
BD
CRD#: 793
Canfield, OH
Current
September 25, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6575 Seville Drive, Canfield, OH 44406RIA
BD
CRD#: 793
Canfield, OH
Past
February 9, 2007 - September 25, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CANFIELD, OH
Past
February 9, 2007 - September 25, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CANFIELD, OH
Past
November 22, 1999 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
CANFIELD, OH
Past
May 14, 1999 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CANFIELD, OH
Past
November 5, 1998 - May 14, 1999
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
August 3, 1998 - November 19, 1998
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
October 17, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
January 22, 1997 - October 20, 1998
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
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(9/25/2009)
RR
Arizona(9/25/2009)
RR
California(5/12/2016)
RR
Colorado(6/24/2021)
RR
Connecticut(2/27/2024)
RR
Florida(9/25/2009)
RR
Georgia(1/6/2017)
RR
Hawaii(9/23/2025)
RR
Idaho(8/9/2024)
RR
Illinois(9/24/2018)
RR
Indiana(9/21/2018)
RR
Kentucky(9/24/2018)
RR
Maine(2/21/2024)
RR
Michigan(9/24/2018)
RR
Minnesota(5/22/2018)
RR
Mississippi(9/25/2009)
RR
Nevada(9/25/2009)
RR
New Jersey(9/24/2018)
RR
New Mexico(3/25/2024)
RR
New York(9/24/2018)
RR
North Carolina(9/25/2018)
RR
Ohio(9/25/2009)
IAR
Ohio(9/25/2009)
RR
Oklahoma(3/27/2020)
RR
Pennsylvania(9/25/2009)
RR
Rhode Island(7/25/2023)
RR
South Carolina(9/24/2018)
RR
South Dakota(11/18/2024)
RR
Tennessee(9/25/2009)
RR
Texas(9/25/2009)
IAR
Texas(2/28/2022)
RR
Virginia(9/24/2018)
RR
Washington(8/12/2024)
RR
West Virginia(4/4/2013)
RR
Wyoming(1/15/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Canfield, OH 44406TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
