Derek John Downing

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

• 06/2013 → 06/2019
  First Empire Securities, Inc.
  Hauppauge, NY
• 06/2019 → Present
  Stifel Nicholas
  Hauppauge, NY

Previous Registrations

• 2013-10-04 → 2019-01-10
  First Empire Asset Management, Inc
  Hauppauge, NY

Other Businesses

1. Private Sale of Consumer goods; 358 4th Avenue, St James NY 11780;12/29/2017;1.00 Hour(s) Per Week;not during securities trading hours; not investment related. 2. St. James Smithtown little League; PO Box 29 St James NY 11780; Local Youth Sports; Local Youth Sports; Board Member; Administrative Duties; 11/16/22; 5 hours per month; not during securities trading hours; not inv related 3. St. James Smithtown Little League; PO Box 29 St. James, NY 11780; Local youth sports league - Little League - Baseball & Softball; Treasurer; Receiving funds from League participants for entry fees, paying vendors for services to the League.; 11/01/2023; 5 hrs/month; Not during securities trading hours; Not Investment-Related

Exams

• S66 Uniform Combined State Law Examination
  2013-10-02

Other Names

• Dereck John Downing