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David E. Kloeckner

Stifel, Nicolaus & Company, Incorporated

Omaha, NE

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2023-10-19
TX RA APPROVED 2023-10-10
  • NE RA
    APPROVED
    Since 2023-10-19
  • TX RA
    APPROVED
    Since 2023-10-10

Branch Locations

13030 Pierce Street Suite 201, Omaha, NE 68144 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Omaha NE 09/2011 10/2023
Stifel, Nicolaus & Company, Incorporated Omaha NE 10/2023 Present
Previous Registrations
  • 2011-09-07 → 2023-10-19
    Ubs Financial Services Inc.
    Omaha, NE
  • 2009-06-01 → 2011-09-13
    Morgan Stanley
    Omaha, NE
    Omaha, NE
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Omaha, NE
  • 2005-06-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Omaha, NE
    Omaha, NE
  • 2001-02-09 → 2005-06-07
    Piper Sandler & Co.
    Omaha, NE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-13
S63 Uniform Securities Agent State Law Examination 2000-11-17
  • S65 Uniform Investment Adviser Law Examination
    2000-12-13
  • S63 Uniform Securities Agent State Law Examination
    2000-11-17
Other Names
  • Dave Kloeckner
  • David Edward Kloeckner
  • David E. Kloeckner
  • David Kloeckner

View on SEC IAPD

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