Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Charles de sola Morris is a registered investment advisor representative with Stifel, Nicolaus & Company, Inc. David has been in the financial services industry since 1979. David is located in Houston, Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (HOUSTON TX)
TX
09/22/2008 - 12/04/2015
BARCLAYS CAPITAL INC. (HOUSTON TX)
TX
10/12/2000 - 09/22/2008
LEHMAN BROTHERS INC. (HOUSTON TX)
NY
07/01/1998 - 10/18/2000
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
06/30/1995 - 07/01/1998
COWEN & CO. (NEW YORK NY)
NY
02/16/1988 - 07/13/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/24/1985 - 02/23/1988
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
NA
11/23/1979 - 06/06/1985
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 05/05/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2014
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1979
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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