Diana Gayle Dorn

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

• 12/2010 → Present
  Stifel Nicolaus & Co Inc
  San Francisco, CA
• 12/2010 → Present
  Thomas Weisel Partners Llc
  San Francisco, CA

Previous Registrations

• 2011-01-03 → 2012-03-28
  Thomas Weisel Partners Llc
  London
  Toronto, Ontario
  San Francisco, CA
  San Francisco, CA
• 2011-01-03 → 2011-01-04
  Stifel, Nicolaus & Company, Incorporated
  San Francisco, CA
• 2010-10-29 → 2010-12-22
  Lwi Financial Inc.
  San Jose, CA
• 2005-11-22 → 2010-08-30
  Lpl Financial Llc
  San Diego, CA
• 2010-04-26 → 2010-08-30
  Independent Advisers Group Corp
  San Diego, CA
  Boston, MA

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-11-17
• S63 Uniform Securities Agent State Law Examination
  1983-09-22