David Scott Whitty

Stifel, Nicolaus & Company, Incorporated

CRD 1906717

Claim This Profile

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-03-06
KY	RA	APPROVED	2006-01-26

TX RA
APPROVED_RES

Since 2023-03-06
KY RA
APPROVED

Since 2006-01-26

Branch Locations

600 North Hurstbourne Parkway Suite 100, Louisville, KY 40222 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Stifel Nicolaus & Co., Inc.	Louisville	KY	08/2005	Present

08/2005 → Present

Stifel Nicolaus & Co., Inc.

Louisville, KY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-29
S63	Uniform Securities Agent State Law Examination	1989-03-22

S65 Uniform Investment Adviser Law Examination

1999-12-29
S63 Uniform Securities Agent State Law Examination

1989-03-22

View on SEC IAPD

Nearby Firms

RAYMOND JAMES & ASSOCIATES, INC.

WAYCROSS GP, LLC

Nearby Investors

REBECCA ANN LOVAN

Donald R Dentinger

MAYNARD EDWIN HOPPER

Nearby Offices

RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY

MORGAN STANLEY · Louisville, KY

WAYCROSS GP, LLC · LOUISVILLE, KY

More in Louisville, KY

Reviews

No reviews yet

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor