Colleen Virginia Dunaway

Stifel, Nicolaus & Company, Incorporated

CRD 6895135

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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
MO	RA	APPROVED	2022-10-25

MO RA
APPROVED

Since 2022-10-25

Branch Locations

501 North Broadway, St. Louis, MO 63102 • 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
Enterprise Holdings	St. Johns	MO	08/2014	12/2017
Diversified Financial Advisors, Llc	Town & Country	MO	12/2017	07/2020
Stifel	St. Louis	MO	07/2020	Present

08/2014 → 12/2017

Enterprise Holdings

St. Johns, MO
12/2017 → 07/2020

Diversified Financial Advisors, Llc

Town & Country, MO
07/2020 → Present

Stifel

St. Louis, MO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-10-22

S66 Uniform Combined State Law Examination

2022-10-22

Other Names

Colleen Dunaway

View on SEC IAPD

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