David Andrew Allen

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
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

Organization	City	State	From	To
Fahnestock & Co. Inc.	New York	NY	01/2003	06/2025
Stifel, Nicolaus & Company, Incorporated	Sherman Oaks	CA	06/2025	Present

01/2003 → 06/2025

Fahnestock & Co. Inc.

New York, NY
06/2025 → Present

Stifel, Nicolaus & Company, Incorporated

Sherman Oaks, CA

Previous Registrations

2004-02-03 → 2025-06-20

Oppenheimer & Co. Inc.

Los Angeles, CA

Los Angeles, CA

Exams

Code	Exam	Date
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