DO
David R. Oakley
STIFEL, NICOLAUS & COMPANY
Quincy, IL 62305
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CRD#: 4387850
DO
Professional summary
David Ray Oakley JR, who also goes by David Ray Oakley Jr, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Quincy, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Ray Oakley Jr
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. Society of Fine Arts; 300 Civic Center Plaza, Quincy, IL 62301; Non-Profit Serving the needs of Arts Organizations in the Quincy, Illinois area; Endowment Committee Chair; I meet with Bank Trust department and other committee members on the investment of the Society of Fine arts endowment fund. We communicate to the board; 08/01/2010; 6 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 2. Gem City Kiwanis; 639 York St. Quincy IL 62301; Social Service Organization- raising funds for local children's programs; Board Member/1st Vice President; Schedules programs and attends board meetings; affiliation started 10/01/2013; 8 hours per month; not during securities trading hours; not investment-related. 3. The friends of Dr. Richard Eells House; 415 Jersey St, IL, 62301; This organization operates Underground Railroad Museum at the home of Dr. Richard Eells; Board member; Board Meetings to discuss direction of the organization and building. Give periodic tours of the building. Volunteer for open house and other activities; 06/29/2010; 12 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 4. St Peter Church - Quincy, Il; 2600 Maine St Quincy IL 62301; Catholic Church - Religious; Capital Campaign General Chair; 1) Assist Fr Leo to w campaign. 2) Attend Meetings - Roughly 12 in 6 months. 3) Assist w Volunteer Recruitment 4) Evaluatie prospective Donors and assign solicitors 5) Make 10 donor visits 6) Gift; 10/13/2023; 10.00hrs/month; During securities trading hours; Not Investment-Related 5. Quincy University; 1800 College Avenue Quincy IL 62301; University; Class of 1984 Reunion Committee; QU wishes to establish a "Class of 1984 Endowed Scholarship" at Quincy University. I will sign a letter and advocate support of the scholarship that will be sent to other class of 1984 graduates; 04/10/2024; 1.00hr/month; During securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view David Ray Oakley JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Ray Oakley 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
September 14, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3825 Maine St, Quincy, IL 62305RIA
BD
CRD#: 793
Quincy, IL
Current
September 14, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3825 Maine St, Quincy, IL 62305RIA
BD
CRD#: 793
Quincy, IL
Past
October 6, 2006 - September 20, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
QUINCY, IL
Past
September 13, 2006 - September 20, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
QUINCY, IL
Past
July 23, 2004 - August 16, 2006
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
MONTVILLE, NJ
Past
June 19, 2001 - October 21, 2002
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
Alaska(5/7/2009)
RR
Arizona(3/9/2020)
RR
Arkansas(1/27/2023)
RR
Florida(9/14/2007)
RR
Illinois(9/14/2007)
IAR
Illinois(9/14/2007)
RR
Indiana(7/10/2020)
RR
Iowa(9/14/2007)
RR
Kansas(10/31/2022)
RR
Kentucky(5/7/2019)
RR
Michigan(9/23/2015)
RR
Minnesota(10/5/2012)
RR
Missouri(9/14/2007)
RR
Nebraska(6/12/2024)
RR
Nevada(6/13/2017)
RR
New Jersey(5/6/2024)
RR
New York(3/7/2017)
RR
North Carolina(5/19/2022)
RR
Oregon(12/6/2019)
RR
Pennsylvania(8/15/2008)
RR
South Carolina(6/8/2016)
RR
South Dakota(4/27/2010)
IAR
Texas(10/9/2013)
RR
Virginia(9/14/2007)
RR
West Virginia(3/5/2018)
RR
Wisconsin(9/14/2007)
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#: 793Quincy, IL 62305TRUST BUT VERIFY
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