David John Rode

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:

Current Employers

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2013-12-09

MN RA
APPROVED

Since 2013-12-09

Branch Locations

5500 Wayzata Boulevard Suite 400, Golden Valley, MN 55416 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Stifel, Nicolaus & Company, Incorporated	Golden Valley	MN	12/2006	Present

12/2006 → Present

Stifel, Nicolaus & Company, Incorporated

Golden Valley, MN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-02-09
S63	Uniform Securities Agent State Law Examination	1980-09-25

S65 Uniform Investment Adviser Law Examination

2007-02-09
S63 Uniform Securities Agent State Law Examination

1980-09-25

View on SEC IAPD