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David Braxton Gay

Stifel, Nicolaus & Company, Incorporated

Isle Of Palms, SC

Charlotte, NC

CRD 2027907

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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

AuthorityCategoryStatusDate
SC RA APPROVED 2025-04-15
TX RA APPROVED_RES 2017-04-19
NC RA APPROVED 2010-04-14
  • SC RA
    APPROVED
    Since 2025-04-15
  • TX RA
    APPROVED_RES
    Since 2017-04-19
  • NC RA
    APPROVED
    Since 2010-04-14

Branch Locations

Isle Of Palms, SC • United States

6100 Fairview Road Suite 350 & Suite 700, Charlotte, NC 28210 • 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
Stifel Nicolaus & Co Inc Charlotte NC 04/2010 Present
  • 04/2010 → Present
    Stifel Nicolaus & Co Inc
    Charlotte, NC
Previous Registrations
  • 2009-03-20 → 2010-04-16
    Oppenheimer & Co. Inc.
    Charlotte, NC
  • 2008-12-05 → 2009-03-16
    Stanford Group Company
    Charlotte, NC
  • 2002-06-20 → 2008-12-08
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
    Charlotte, NC
  • 2002-01-28 → 2002-06-20
    Wachovia Securities, Inc.
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-30
S63 Uniform Securities Agent State Law Examination 1990-01-29
  • S65 Uniform Investment Adviser Law Examination
    2001-01-30
  • S63 Uniform Securities Agent State Law Examination
    1990-01-29

View on SEC IAPD

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