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DALE STEVEN BOURNE
CRD#: 4214237
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 4910 CORPORATE CENTRE DRIVE
SUITE 104
LAWRENCE, KS 66047
SUITE 104
LAWRENCE, KS 66047
0
Disclosures
20
Years of Experience
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State Registrations
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Arizona 9/11/2009
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Missouri 9/11/2009
B
Arkansas 11/12/2015
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Montana 11/8/2012
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California 9/11/2009
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New York 1/2/2024
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Colorado 9/11/2009
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North Carolina 8/10/2011
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District of Columbia 9/11/2009
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Ohio 1/2/2024
B
Florida 9/11/2009
B
South Carolina 4/30/2021
B
Georgia 8/20/2018
B
Tennessee 9/11/2009
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Indiana 9/11/2009
B
Texas 9/11/2009
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Kansas 9/11/2009
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Texas 1/4/2021
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Kansas 9/11/2009
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Virginia 6/22/2016
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Louisiana 9/6/2012
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Washington 1/3/2021
B
Maryland 1/2/2024
B
Wisconsin 4/30/2021
B
Michigan 1/2/2024
SRO Registrations
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Registered with this firm since 9/11/2009
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Registered with this firm since 9/11/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/12/2006 - 09/11/2009 | LAWRENCE, KS | |
B | 08/12/2006 - 09/11/2009 | LAWRENCE, KS | |
IA | 03/08/2005 - 08/12/2006 | LAWRENCE, KS | |
B | 12/15/2004 - 08/12/2006 | LAWRENCE, KS |
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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.
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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.
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.