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David M. Anderson
DAVID MARK ANDERSON
CRD#: 3128716
IA
Investment Adviser
B
Broker Regulated by FINRA
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 321 EAST 2ND STREET
1ST & 2ND FLOOR
ROCHESTER, MI 48307
+1
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2014 - 2014 (<1 year)2 FIRMS2012 - 2022 (9 years)2 FIRMS2022 - Present (2 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (2 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2009 - 2009 (<1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2004 - 2009 (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - 2004 (5 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)
Disclosure(s)
View By:
7/21/2019
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona

B
Michigan

B
Arkansas

IA
Michigan

B
California

B
Ohio

B
Colorado

B
Pennsylvania

B
Florida

B
South Carolina

B
Hawaii

IA
Texas

B
Idaho

B
Texas

B
Illinois

B
Virginia

B
Indiana

SRO Registrations

B
FINRA

B
Cboe BZX Exchange, Inc.

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
321 EAST 2ND STREET 1ST & 2ND FLOOR, ROCHESTER, MI 48307
Registered with this firm since 6/14/2022

IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
321 EAST 2ND STREET 1ST & 2ND FLOOR, ROCHESTER, MI 48307
Registered with this firm since 6/14/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/01/2012 - 07/14/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) Rochester, MI
B
10/01/2012 - 07/14/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) Rochester, MI
IA
10/27/2014 - 11/03/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) BIRMINGHAM, MI
B
10/27/2014 - 11/03/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) BIRMINGHAM, MI
IA
04/23/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TROY, MI
B
11/19/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) TROY, MI
B
06/01/2009 - 12/01/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) TROY, MI
B
12/13/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TROY, MI
B
01/27/1999 - 12/17/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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