Dori R Schwartz

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → Present
  Stifel Nicolaus & Co Inc
  Florham Park, NJ

Previous Registrations

• 2015-03-18 → 2015-06-16
  Private Advisor Group, Llc
  Fairfield, NJ
  Morristown, NJ
• 2015-01-07 → 2015-03-04
  Northwestern Mutual Investment Services, Llc
  Fairfield, NJ

Other Businesses

1. WhatsNextOnline.com; 18 Hemlock Dr NORTH CALDWELL, NJ 07006; WhatsNextOnline.com is the digital strategy consultancy of B.L. Ochman (dec), a New York-based online marketing pioneer; Officer; Wind down my sister's estate and pay taxes; 06/01/2026; 2hrs/day; Not during securities trading hours; Not investment related

Exams

• S66 Uniform Combined State Law Examination
  2014-11-25

Other Names

• Dori Friedman
• Dori R Friedman