PD
Patrick M. Dyas
STIFEL, NICOLAUS & COMPANY
Newport Beach, CA 92660
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CRD#: 6963350
PD
Professional summary
Patrick Michael Dyas is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Newport Beach, California.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Patrick has worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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. Orange Plaza Rotary Club; 1619 N Brian St Suite B Orange CA 92867; We provide service to others, promote integrity, and advance world understanding, goodwill, and peace through our fellowship of; Treasurer; I am in charge of handling the day to day operations of the clubs finances with oversight from the board of directors, I will be in charge of creating a budget for our club, writing check; 07/24/2024; 3 hours per week; Not during securities trading hours; not investment related. 2. Greater Irvine Chamber of Commerce; 36 Executive Park #100 Irvine CA 92614; Working to advance the economic vitality of greater Irvine, the Greater Irvine Chamber focuses on helping businesses; Vice Chair - 1st and 3rd Thursday Leads Group; Help assist with the semi monthly networking group meetings, communicate with members of the group the blank roster after every meeting, and track the attendance of the group; 07/18/2024; 3 hours per month; During securities trading hours; Not Investment-Related 3. BNI (Business Networking International); 8240 Ballantyne Commons Pkwy PO Box #49248 Charlotte NC 28277; Business Networking; Growth and Retention Coordinator; Host and organize social events for the chapter; 05/07/2024; 3 hrs/week; During securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Michael Dyas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Michael Dyas'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
April 14, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 520 Newport Center Drive Suite 1500, Newport Beach, CA 92660RIA
BD
CRD#: 793
Newport Beach, CA
Current
March 21, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 520 Newport Center Drive Suite 1500, Newport Beach, CA 92660RIA
BD
CRD#: 793
Newport Beach, CA
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(4/18/2022)
RR
California(4/14/2022)
IAR
California(4/14/2022)
RR
Colorado(4/18/2022)
RR
Delaware(4/18/2022)
RR
Florida(4/18/2022)
RR
Georgia(4/18/2022)
RR
Idaho(4/18/2022)
RR
Illinois(4/18/2022)
RR
Kansas(1/2/2025)
RR
Maryland(4/24/2024)
RR
Michigan(4/18/2022)
RR
Missouri(4/18/2022)
RR
Montana(4/9/2024)
RR
Nevada(4/18/2022)
RR
New Hampshire(7/18/2024)
RR
New Jersey(4/18/2022)
RR
New York(4/18/2022)
RR
North Carolina(4/19/2022)
RR
Ohio(4/18/2022)
RR
Oklahoma(4/18/2022)
RR
Oregon(4/18/2022)
RR
Pennsylvania(6/21/2024)
RR
South Carolina(4/18/2022)
RR
South Dakota(4/18/2022)
RR
Tennessee(4/18/2022)
RR
Texas(4/18/2022)
IAR
Texas(6/3/2022)
RR
Utah(4/18/2022)
RR
Virginia(4/30/2024)
RR
Washington(4/18/2022)
RR
Wisconsin(1/2/2025)
RR
Wyoming(10/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/21/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BZX 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.
