DM
Diane M. Morrison
STIFEL INDEPENDENT ADVISORS
Incline Village, NV 89451
CRD#: 5112867
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DM
Diane Marie MorrisonSTIFEL INDEPENDENT ADVISORS
Professional summary
Diane Marie Morrison is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Incline Village, Nevada.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Diane has worked at 3 firms and has passed the Series 66, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Diane Marie Morrison's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diane Marie Morrison'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
July 20, 2009 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 913 Tahoe Blvd Suite 1, Incline Village, NV 89451RIA
BD
CRD#: 28218
Incline Village, NV
Current
July 20, 2009 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 913 Tahoe Blvd Suite 1, Incline Village, NV 89451RIA
BD
CRD#: 28218
Incline Village, NV
Past
June 25, 2009 - July 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
INCLINE VILLAGE, NV
Past
January 1, 2008 - July 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
INCLINE VILLAGE, NV
Past
May 12, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
INCLINE VILLAGE, NV
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)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(10/27/2010)
RR
California(7/20/2009)
RR
Colorado(7/20/2009)
RR
Missouri(7/20/2009)
RR
Nevada(7/20/2009)
IAR
Nevada(7/20/2009)
RR
Washington(7/30/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218Incline Village, NV 89451TRUST BUT VERIFY
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