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Detailed Report
DAVID DEXTER ALMQUIST
CRD#: 846960
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 400 SPECTRUM CENTER DRIVE
IRVINE, CA 92618
Registration History
19801985199019952000200520102015202020252 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1995 - 2008 (12 years)BCROWELL, WEEDON & CO. (CRD# 193)1990 - 1995 (4 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1985 - 1990 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1977 - 1985 (7 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2008 (10 years)
Disclosure(s)
View By:
9/29/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/21/2010
B
Nevada 7/11/2023
B
California 11/30/2009
B
Oregon 1/2/2024
IA
California 11/30/2009
B
Texas 11/30/2009
B
Colorado 11/30/2009
B
Utah 11/30/2009
B
Florida 8/13/2018
B
Virginia 11/30/2009
B
Idaho 6/23/2020
B
Washington 11/30/2009
B
Missouri 11/30/2009

SRO Registrations

B
 FINRA
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

Learn about permitted activities of registered representatives

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)
400 SPECTRUM CENTER DRIVE, IRVINE, CA 92618
Mission Viejo, CA
Registered with this firm since 11/30/2009
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
400 SPECTRUM CENTER DRIVE, IRVINE, CA 92618
Mission Viejo, CA
Registered with this firm since 11/30/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/01/2008 - 12/02/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAGUNA BEACH, CA
B
 01/01/2008 - 12/02/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAGUNA BEACH, CA
B
 05/05/1995 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LAGUNA BEACH, CA
IA
 07/08/1997 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LAGUNA BEACH, CA
B
 12/18/1990 - 05/05/1995 CROWELL, WEEDON & CO. (CRD#:193) LOS ANGELES, CA
B
 10/23/1985 - 12/17/1990 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
B
 12/05/1977 - 10/28/1985 E. F. HUTTON & COMPANY INC (CRD#:235)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
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.