David William Harris

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
MI	RA	APPROVED	2010-04-23

MI RA
APPROVED

Since 2010-04-23

Branch Locations

17000 Kercheval Avenue Suite 240, Grosse Pointe, MI 48230 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
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	Grosse Pointe Farms	MI	01/2007	Present

01/2007 → Present

Stifel, Nicolaus & Company, Incorporated

Grosse Pointe Farms, MI

Previous Registrations

2006-09-28 → 2007-01-22

Keybanc Capital Markets Inc.

Grosse Pointe Woods, MI

Other Businesses

Michigan Youth Soccer League; 4789 Heidi Drive Sterling Heights MI 48310; Michigan Youth soccer travel competition; President; Executive Officer; 07/02/1990; 1,000.00 Hour(s) Per Year; not during securities trading hours; Not Investment-Related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-03-11
S63	Uniform Securities Agent State Law Examination	1985-04-12

S65 Uniform Investment Adviser Law Examination

1993-03-11
S63 Uniform Securities Agent State Law Examination

1985-04-12

View on SEC IAPD