DO
David L. Okun
STIFEL, NICOLAUS & COMPANY
New York, NY 10036
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CRD#: 351789
DO
Professional summary
David Louis Okun is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. David has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, PC, Series 1 and Series 12 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. COD FAMILY LTD PARTNERSHIP; PO Box 748 Long Beach NY 11561-0748; Antiques; General Partner; Help my wife and daughter with their general partner duties; my wife and I gifted our antique collection; 01/02/2013; 3hrs/month; Not during securities trading hours; Not Investment-Related. 2. COD LLC; PO Box 748, Long Beach, NY 11561; holds interest in COD Family Ltd. Partnership; Owner; 09/12/2018; 3.00 Hour(s) Per Year; Not during securities trading hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view David Louis Okun's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Louis Okun'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 21, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Current
August 21, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Past
July 15, 2002 - August 21, 2007
RYAN BECK & CO.
RIA
CRD#: 3248
NEW YORK, NY
Past
April 29, 2002 - August 21, 2007
RYAN BECK & CO.
BD
CRD#: 3248
NEW YORK, NY
Past
March 1, 1982 - May 13, 2002
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
November 1, 1981 - March 15, 1982
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
April 3, 1970 - November 22, 1982
BRUNS, NORDEMAN, REA & CO.
BD
CRD#: 6589
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(8/21/2007)
RR
California(8/21/2007)
RR
Colorado(8/21/2007)
RR
Connecticut(8/21/2007)
IAR
Connecticut(8/21/2007)
RR
Delaware(4/24/2008)
RR
Florida(8/21/2007)
RR
Georgia(8/21/2007)
RR
Illinois(8/21/2007)
RR
Iowa(4/27/2015)
RR
Louisiana(11/19/2009)
RR
Maine(8/21/2007)
RR
Maryland(8/21/2007)
RR
Massachusetts(8/21/2007)
RR
Michigan(5/17/2021)
RR
Minnesota(8/21/2007)
RR
Missouri(8/21/2007)
RR
Nevada(8/21/2007)
RR
New Jersey(8/21/2007)
RR
New Mexico(8/9/2023)
RR
New York(8/21/2007)
IAR
New York(5/26/2021)
RR
North Carolina(8/21/2007)
RR
Ohio(1/4/2010)
RR
Oregon(10/5/2016)
RR
Pennsylvania(8/21/2007)
RR
Rhode Island(6/8/2020)
RR
South Carolina(8/21/2007)
RR
Texas(8/21/2007)
IAR
Texas(10/22/2009)
RR
Utah(8/21/2007)
RR
Vermont(11/29/2017)
RR
Virginia(8/21/2007)
RR
Washington(5/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/13/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 7/13/1959
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 8/20/1970
NYSE Branch Manager ExaminationSRO 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.
