David John Harris

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-04-02
MD	RA	APPROVED	2018-10-31
TX	RA	APPROVED	2018-10-31

FL RA
APPROVED

Since 2024-04-02
MD RA
APPROVED

Since 2018-10-31
TX RA
APPROVED

Since 2018-10-31

Branch Locations

Delray Beach, FL • United States

115 North Main Street Suite #A, Bel Air, MD 21014 • United States

3777 Tamiami Trail North Suite 300, Naples, FL 34103 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bel Air	MD	04/2009	10/2018
Bank Of America, N.A.	Bel Air	MD	06/2011	10/2018
Stifel Nicolaus & Co Inc	Naples	FL	10/2018	Present

04/2009 → 10/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bel Air, MD
06/2011 → 10/2018

Bank Of America, N.A.

Bel Air, MD
10/2018 → Present

Stifel Nicolaus & Co Inc

Naples, FL

Previous Registrations

2009-05-08 → 2018-11-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bel Air, MD

Bel Air, MD
2001-05-04 → 2009-05-11

Wells Fargo Clearing Services, Llc

Bel Air, MD

Bel Air, MD

Other Businesses

1. Al Cesky Foundation; PO Box 571, Bal Air, MD 21014; Scholarship money for high school athletes; Board Member; Finance; 12/08/2021; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-02-18
S63	Uniform Securities Agent State Law Examination	1995-12-07

S65 Uniform Investment Adviser Law Examination

1997-02-18
S63 Uniform Securities Agent State Law Examination

1995-12-07

View on SEC IAPD