Best Investors Account Sign in

David Marvin Born

Stifel, Nicolaus & Company, Incorporated

Golden Valley, MN

CRD 1381419

Claim This Profile
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

AuthorityCategoryStatusDate
TX RA APPROVED 2023-04-26
MN RA APPROVED 2013-12-09
  • TX RA
    APPROVED
    Since 2023-04-26
  • MN RA
    APPROVED
    Since 2013-12-09

Branch Locations

5500 Wayzata Boulevard Suite 400, Golden Valley, MN 55416 • 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
OrganizationCityStateFromTo
Stifel, Nicolaus & Co., Inc. Edina MN 03/2001 Present
  • 03/2001 → Present
    Stifel, Nicolaus & Co., Inc.
    Edina, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-11
S63 Uniform Securities Agent State Law Examination 1985-07-29
  • S65 Uniform Investment Adviser Law Examination
    2006-02-11
  • S63 Uniform Securities Agent State Law Examination
    1985-07-29
Designations
  • Certified Financial Planner

View on SEC IAPD

More in Golden Valley, MN

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor