David Dexter Almquist

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
CA	RA	APPROVED	2009-12-01

CA RA
APPROVED

Since 2009-12-01

Branch Locations

400 Spectrum Center Drive, Irvine, CA 92618 • 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

Organization	City	State	From	To
Stifel Nicolaus & Co Inc	Newport Beach	CA	11/2009	Present

11/2009 → Present

Stifel Nicolaus & Co Inc

Newport Beach, CA

Previous Registrations

2008-01-01 → 2009-12-02

Wells Fargo Clearing Services, Llc

Laguna Beach, CA
1997-07-08 → 2008-01-01

A. G. Edwards & Sons, Inc.

Laguna Beach, CA

Laguna Beach, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-10-14
S63	Uniform Securities Agent State Law Examination	1980-09-30

S65 Uniform Investment Adviser Law Examination

2013-10-14
S63 Uniform Securities Agent State Law Examination

1980-09-30

View on SEC IAPD