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Daniel Stuart Newell

Stifel, Nicolaus & Company, Incorporated

Hunt Valley, MD

Lutherville, MD

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2018-03-02
  • MD RA
    APPROVED
    Since 2018-03-02

Branch Locations

303 International Circle Suite 590, Hunt Valley, MD 21030 • United States

Lutherville, MD • 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
OrganizationCityStateFromTo
Rbc Capital Markets Corporation Annapolis MD 03/2009 02/2018
Stifel Nicolaus & Co Inc Hunt Valley MD 02/2018 Present
  • 03/2009 → 02/2018
    Rbc Capital Markets Corporation
    Annapolis, MD
  • 02/2018 → Present
    Stifel Nicolaus & Co Inc
    Hunt Valley, MD
Previous Registrations
  • 2009-03-13 → 2018-03-14
    Rbc Capital Markets, Llc
    Annapolis, MD
    Hunt Valley, MD
  • 2005-11-23 → 2009-03-13
    Ferris, Baker Watts, Llc
    Frederick, MD
    Annapolis, MD
Other Businesses

Personal Representative - non family trust

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-11-22
S63 Uniform Securities Agent State Law Examination 1980-05-15
  • S65 Uniform Investment Adviser Law Examination
    2005-11-22
  • S63 Uniform Securities Agent State Law Examination
    1980-05-15
Other Names
  • Daniel S Newell

View on SEC IAPD

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Other Offices

BAY HARBOR WEALTH MANAGEMENT, LLC · HUNT VALLEY, MD
ABS CAPITAL PARTNERS, INC. · HUNT VALLEY, MD
GROFF WEALTH MANAGEMENT · HUNT VALLEY, MD
MONUMENTAL WEALTH, LLC · HUNT VALLEY, MD
BUSH RIVER TRUST, LLC · HUNT VALLEY, MD
OSAIC WEALTH, INC. · HUNT VALLEY, MD
INDEPENDENT FINANCIAL PARTNERS · Hunt Valley, MD
AE WEALTH MANAGEMENT, LLC · Hunt Valley, MD

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