Ann E. Digiorgio
Professional summary
Ann Elizabeth Digiorgio, who also goes by Ann Digiorgio, Ann Elizabeth Mackall, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Irvine, California.
Ann is registered as a RR (Registered Representative) and started their career in finance in 1981. Ann has worked at 22 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 14, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ann Elizabeth Digiorgio's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2024 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 584 Wald, Irvine, CA 92618June 13, 2014 - November 12, 2024
FINANCE 500, INC.
October 22, 2013 - June 6, 2014
GIRARD SECURITIES, INC.
June 5, 2013 - June 6, 2014
GIRARD SECURITIES, INC.
May 27, 2011 - May 21, 2013
U.S. BANCORP ADVISORS, LLC
May 27, 2011 - May 21, 2013
U.S. BANCORP ADVISORS, LLC
April 6, 2011 - June 6, 2011
NORTHWEST INVESTMENT ADVISORS, INC.
March 29, 2011 - May 23, 2011
WFP SECURITIES
September 10, 2007 - May 23, 2011
RUTBERG & COMPANY, LLC
January 10, 2006 - July 29, 2008
SHORELINE PACIFIC, LLC
December 6, 2005 - December 1, 2006
USA ADVANCED PLANNERS INC.
September 23, 2004 - April 27, 2005
USA ADVANCED PLANNERS INC.
July 9, 2004 - August 27, 2004
EISENHOWER FINANCIAL SERVICES, LLC
April 22, 2004 - December 3, 2004
RAINIER SECURITIES, LLC
April 5, 2004 - June 8, 2006
FTP SECURITIES LLC
February 10, 2004 - May 28, 2010
ENVERRA CAPITAL LLC
January 10, 2003 - September 23, 2003
SHORELINE PACIFIC, LLC
December 20, 2002 - January 14, 2011
TRADEWEB DIRECT LLC
November 4, 2002 - May 23, 2011
CATAPULT ADVISORS LLC
December 20, 1999 - May 23, 2002
EBONDTRADE
November 10, 1998 - July 15, 1999
SECURITY RESEARCH ASSOCIATES, INC.
June 29, 1998 - August 7, 1998
FITZGERALD CAPITAL ADVISERS, LTD.
November 12, 1992 - September 18, 1997
COAST PARTNERS FINANCIAL CORPORATION
November 10, 1992 - January 1, 1994
WESTERN SELECT SECURITIES, INC.
January 11, 1989 - February 2, 1993
CYPRESS CAPITAL CORPORATION
July 20, 1981 - June 15, 1988
PACIFIC SECURITIES, INC.
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/16/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 11/17/2021
Investment Banking Registered Representative ExaminationCboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
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.
