FD
Frank H. Dworsky
STIFEL, NICOLAUS & COMPANY
Chapel Hill, NC 27517
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CRD#: 855126
FD
Professional summary
Frank Herman Dworsky, CFP® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Chapel Hill, North Carolina.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Frank has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 10, Series 9 and Series 8 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. Cypress LLC; 8601 Cypress Lakes Dr. A 407, Raleigh, NC 27615; Real Estate Investment; 1/4 Owner; 10/15/2008; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 2. Learning Outside; 2912B Jones Ferry Road, Chapel Hill, NC 27516; Teaching young kids about outside environment; Board Member; Help with organization; 09/21/2021; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related. 3. Mill Creek; 700 MLK Unit A-6 Chapel Hill NC 27515; apartment rental; owner; No duties other than to make sure the rent is paid and mortgage is paid; 02/07/2004; 0.00hrs/day; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Herman Dworsky's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Herman Dworsky'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®
Experience
Current
July 16, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1414 Raleigh Road, Chapel Hill, NC 27517RIA
BD
CRD#: 793
Chapel Hill, NC
Current
July 16, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1414 Raleigh Road, Chapel Hill, NC 27517RIA
BD
CRD#: 793
Chapel Hill, NC
Past
June 1, 2009 - July 23, 2020
MORGAN STANLEY
RIA
CRD#: 149777
CHAPEL HILL, NC
Past
June 1, 2009 - July 23, 2020
MORGAN STANLEY
BD
CRD#: 149777
CHAPEL HILL, NC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
CHAPEL HILL, NC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
CHAPEL HILL, NC
Past
March 1, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
RALEIGH, NC
Past
March 1, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
RALEIGH, NC
Past
July 1, 2003 - March 1, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHAPEL HILL, NC
Past
July 1, 2003 - March 1, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHAPEL HILL, NC
Past
March 11, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
DURHAM, NC
Past
February 10, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 31, 1993 - February 22, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 25, 1978 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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(7/16/2020)
RR
California(7/16/2020)
RR
Colorado(5/13/2021)
RR
Florida(7/16/2020)
IAR
Florida(1/29/2024)
RR
Illinois(7/16/2020)
RR
Kentucky(7/16/2020)
RR
Maine(7/16/2020)
RR
Maryland(7/16/2020)
RR
Michigan(3/8/2021)
RR
Nevada(7/16/2020)
RR
New Jersey(7/16/2020)
RR
New York(7/16/2020)
RR
North Carolina(7/16/2020)
IAR
North Carolina(7/16/2020)
RR
South Carolina(7/17/2020)
RR
Tennessee(7/16/2020)
IAR
Texas(7/16/2020)
RR
Vermont(6/18/2021)
RR
Virginia(7/16/2020)
RR
Wyoming(7/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 2/28/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/12/1984
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Chapel Hill, NC 27517TRUST BUT VERIFY
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Contact information
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