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David William Holler

Stifel, Nicolaus & Company, Incorporated

Newport Beach, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-01-10
CA RA APPROVED 2019-06-21
  • TX RA
    APPROVED
    Since 2020-01-10
  • CA RA
    APPROVED
    Since 2019-06-21

Branch Locations

520 Newport Center Drive Suite 1500, Newport Beach, CA 92660 • 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
Ohio National Equities, Inc Cincinnati OH 02/2007 04/2019
Ohio National Financial Services Cincinnati OH 01/2007 04/2019
Stifel, Nicolaus & Company, Incorporated Newport Beach CA 04/2019 Present
  • 02/2007 → 04/2019
    Ohio National Equities, Inc
    Cincinnati, OH
  • 01/2007 → 04/2019
    Ohio National Financial Services
    Cincinnati, OH
  • 04/2019 → Present
    Stifel, Nicolaus & Company, Incorporated
    Newport Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-21
S63 Uniform Securities Agent State Law Examination 2001-03-16
  • S66 Uniform Combined State Law Examination
    2019-06-21
  • S63 Uniform Securities Agent State Law Examination
    2001-03-16

View on SEC IAPD

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