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David Andrew Allen

Stifel, Nicolaus & Company, Incorporated

Oxnard, CA

Sherman Oaks, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-17
  • CA RA
    APPROVED
    Since 2025-06-17

Branch Locations

1000 Town Center Dr. Suite 450, Oxnard, CA 93030 • United States

15303 Ventura Blvd. Suite 1520, Sherman Oaks, CA 91403 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fahnestock & Co. Inc. New York NY 01/2003 06/2025
Stifel, Nicolaus & Company, Incorporated Sherman Oaks CA 06/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-31
S63 Uniform Securities Agent State Law Examination 2000-09-13
  • S66 Uniform Combined State Law Examination
    2002-01-31
  • S63 Uniform Securities Agent State Law Examination
    2000-09-13

View on SEC IAPD

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