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David M. Anderson
DAVID MARK ANDERSON
CRD#: 3128716
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 321 EAST 2ND STREET
1ST & 2ND FLOOR
ROCHESTER, MI 48307
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 4/30/2024

B
Michigan 6/14/2022

B
Arkansas 9/15/2022

IA
Michigan 6/14/2022

B
California 6/14/2022

B
Ohio 6/14/2022

B
Colorado 6/14/2022

B
Pennsylvania 6/14/2022

B
Florida 6/14/2022

B
South Carolina 6/14/2022

B
Hawaii 10/20/2022

IA
Texas 6/14/2022

B
Idaho 6/21/2023

B
Texas 3/27/2024

B
Illinois 6/21/2022

B
Virginia 6/14/2022

B
Indiana 6/14/2022

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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

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

Previous Registration(s)
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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
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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.