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David Fielding Havens

Stifel, Nicolaus & Company, Incorporated

Winston-Salem, NC

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2019-04-02
TX RA APPROVED_RES 2019-03-14
  • NC RA
    APPROVED
    Since 2019-04-02
  • TX RA
    APPROVED_RES
    Since 2019-03-14

Branch Locations

1 West 4Th Street, Winston-Salem, NC 27101 • 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
Jjb Hilliard Wl Lyons Llc Winton-Salem NC 06/2013 03/2019
Stifel Nicolaus & Co Inc Winston-Salem NC 03/2019 Present
  • 06/2013 → 03/2019
    Jjb Hilliard Wl Lyons Llc
    Winton-Salem, NC
  • 03/2019 → Present
    Stifel Nicolaus & Co Inc
    Winston-Salem, NC
Previous Registrations
  • 2013-06-07 → 2019-03-20
    J.J.B. Hilliard, W.L. Lyons, Llc
    Winston-Salem, NC
  • 2007-05-25 → 2013-06-17
    Ubs Financial Services Inc.
    Winston-Salem, NC
  • 1997-02-03 → 2007-05-31
    Scott & Stringfellow, Llc
    Winston-Salem, NC
    Winston-Salem, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-31
S63 Uniform Securities Agent State Law Examination 1997-01-17
  • S65 Uniform Investment Adviser Law Examination
    1997-01-31
  • S63 Uniform Securities Agent State Law Examination
    1997-01-17

View on SEC IAPD

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Other Offices

SALEM INVESTMENT COUNSELORS INC · WINSTON SALEM, NC
JT STRATFORD, LLC · WINSTON-SALEM, NC
DARDA FINANCIAL · WINSTON-SALEM, NC
FIRST CITIZENS INVESTOR SERVICES, INC. · WINSTON-SALEM, NC
CETERA INVESTMENT ADVISERS LLC · WINSTON-SALEM, NC
PRINCIPAL SECURITIES, INC. · WINSTON SALEM, NC
PARK AVENUE SECURITIES LLC · WINSTON-SALEM, NC
VIRTUE CAPITAL MANAGEMENT, LLC · WINSTON-SALEM, NC

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