DK
David E. Kloeckner
STIFEL, NICOLAUS & COMPANY
Omaha, NE 68124
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CRD#: 4214176
DK
Professional summary
David E. Kloeckner, who also goes by Dave Kloeckner, David Edward Kloeckner, David Kloeckner, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Omaha, Nebraska.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Kloeckner | David Edward Kloeckner | David Kloeckner
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. Ralston High school Marching band/ Drumline; 8696 Park Drive Ralston NE 68127; teach students in the band/ percussion; Drumline Instructor; 05/11/2018; 3.00hrs/week; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view David E. Kloeckner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David E. Kloeckner'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
October 10, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1125 South 103rd Street, One Pacific Place, Omaha, NE 68124RIA
BD
CRD#: 793
Omaha, NE
Current
October 10, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1125 South 103rd Street, One Pacific Place, Omaha, NE 68124RIA
BD
CRD#: 793
Omaha, NE
Past
September 7, 2011 - October 19, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
OMAHA, NE
Past
September 7, 2011 - October 19, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
OMAHA, NE
Past
June 1, 2009 - September 13, 2011
MORGAN STANLEY
RIA
CRD#: 149777
OMAHA, NE
Past
June 1, 2009 - September 13, 2011
MORGAN STANLEY
BD
CRD#: 149777
OMAHA, NE
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
OMAHA, NE
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
OMAHA, NE
Past
June 9, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
OMAHA, NE
Past
May 27, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
OMAHA, NE
Past
February 9, 2001 - June 7, 2005
PIPER SANDLER & CO.
RIA
CRD#: 665
OMAHA, NE
Past
September 27, 2000 - June 7, 2005
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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(10/10/2023)
RR
Arkansas(10/10/2023)
RR
California(10/10/2023)
RR
Colorado(10/10/2023)
RR
Florida(6/20/2025)
RR
Georgia(10/10/2023)
RR
Illinois(10/10/2023)
RR
Indiana(3/7/2025)
RR
Iowa(10/10/2023)
RR
Kansas(10/10/2023)
RR
Maryland(3/7/2025)
RR
Minnesota(8/15/2024)
RR
Missouri(10/10/2023)
RR
Nebraska(10/10/2023)
IAR
Nebraska(10/19/2023)
RR
Nevada(8/14/2025)
RR
New Hampshire(10/10/2023)
RR
New Jersey(10/10/2023)
RR
New Mexico(10/10/2023)
RR
New York(10/10/2023)
RR
North Dakota(3/7/2025)
RR
Ohio(8/15/2025)
RR
Oregon(3/7/2025)
RR
Pennsylvania(3/7/2025)
RR
Tennessee(7/28/2025)
RR
Texas(10/10/2023)
IAR
Texas(10/10/2023)
RR
Virginia(7/29/2025)
RR
Washington(10/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGX 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
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#: 793Omaha, NE 68124TRUST BUT VERIFY
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