DB
David L. Bowlin
STIFEL, NICOLAUS & COMPANY
Atlanta, GA 30326
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CRD#: 3070699
DB
Professional summary
David Leslie Bowlin JR, who also goes by David Leslie Bowlin, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Atlanta, Georgia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Leslie Bowlin
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 Rental property in Virginia; ; 928 Huntwood Lane Charlottesville VA; Rental property; Home owner; Property Manager; affiliation started 08/01/2007; 5 hours per year; not during securities trading hours; not investment-related. 2. Saint Anne's Day School; 3098 St Anne's Lane Atlanta GA 30327; Advisory Council; help guide the affairs of the school; 9/20/22; 10 hours per year; not during securities trading hours; not investment-related 3. Atlanta Speech School; 3160 Northside Pkwy NW Atlanta GA 30327; Board of Directors; Board and serve on the Personnel Committee; 9/21/22; 10 hours per year; not during securities trading hours; not investment-related 4. Dos Rios, LLC; 1561 McGee Bend Rd SW Cave Spring GA 30124; was formed to acquire 513 acres in Cave Spring, GA We use the land recreationally with families and to hunt; I am a 20% member of the LLC; I have no responsibilities with the entity; 05/01/2023; 3.00hrs/year; not during securities trading hours; not investment-related
CRS (Client Relationship Summary) - RIA
Click below to view David Leslie Bowlin JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Leslie Bowlin JR'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
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326RIA
BD
CRD#: 793
Atlanta, GA
Current
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3630 Peachtree Road Ne 4th Floor, Atlanta, GA, 30326RIA
BD
CRD#: 793
Atlanta, GA
Past
September 18, 2009 - December 4, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
ATLANTA, GA
Past
September 17, 2009 - December 4, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
ATLANTA, GA
Past
June 6, 2006 - July 2, 2007
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
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(12/4/2015)
RR
California(3/29/2018)
RR
Florida(12/10/2015)
RR
Georgia(12/4/2015)
IAR
Georgia(12/4/2015)
RR
Illinois(4/11/2023)
RR
Kentucky(10/10/2023)
RR
Louisiana(4/18/2017)
RR
Minnesota(1/26/2024)
RR
Missouri(12/4/2015)
RR
Montana(6/28/2022)
RR
Nevada(12/20/2019)
RR
New Jersey(12/4/2015)
RR
New York(12/4/2015)
RR
North Carolina(12/4/2015)
RR
Ohio(11/25/2019)
RR
Tennessee(12/4/2015)
RR
Texas(12/4/2015)
IAR
Texas(12/4/2015)
RR
Virginia(12/4/2015)
Exams
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
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, 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.
