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David Bruce Holz

Stifel, Nicolaus & Company, Incorporated

Boca Raton, FL

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2013-04-22
  • FL RA
    APPROVED
    Since 2013-04-22

Branch Locations

2650 North Military Trail Suite 400, Boca Raton, FL 33431 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus Boca Raton FL 04/2013 Present
  • 04/2013 → Present
    Stifel Nicolaus
    Boca Raton, FL
Previous Registrations
  • 2009-10-09 → 2013-04-26
    Rbc Capital Markets, Llc
    West Palm Beach, FL
  • 2003-06-16 → 2009-10-09
    J. B. Hanauer & Co.
    West Palm Beach, FL
    West Palm Beach, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-09-08
S63 Uniform Securities Agent State Law Examination 2000-12-07
  • S65 Uniform Investment Adviser Law Examination
    2001-09-08
  • S63 Uniform Securities Agent State Law Examination
    2000-12-07

View on SEC IAPD

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Other Offices

SUN CAPITAL ADVISORS, L.P. · BOCA RATON, FL
AMERIPRISE FINANCIAL SERVICES, LLC · BOCA RATON, FL
HIGHTOWER ADVISORS, LLC · Boca Raton, FL
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