Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Dorr Hartrich is a financial professional with over 30 years of experience in the industry. David is currently registered with Stifel, Nicolaus & Company, Inc. and has previously been associated with several other firms including Evertrade Direct Brokerage, Inc., Edward Jones, John Nuveen & Co., Incorporated, and Everen Securities, Inc.. David holds multiple securities licenses including Series 7, 24, 26, 63, 99TO and SIE. David provides financial planning and portfolio management services to individuals, businesses, and pooled investment vehicles.
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
MO
01/28/2013 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
MO
06/01/2004 - 10/16/2012
EVERTRADE DIRECT BROKERAGE, INC. (ST. LOUIS MO)
MO
09/27/2001 - 10/07/2003
EDWARD JONES (ST. LOUIS MO)
IL
09/09/1997 - 06/22/2000
JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)
MO
06/09/1994 - 11/18/1996
EVEREN SECURITIES, INC. (ST. LOUIS MO)
MO
06/01/1992 - 06/20/1994
COMMERCE BROKERAGE SERVICES, INC. (CLAYTON MO)
NA
03/28/1991 - 03/14/1992
MARK TWAIN BROKERAGE SERVICES, INC.
MO
08/24/1983 - 11/15/1991
NEWHARD, COOK & CO. INCORPORATED (ST. LOUIS MO)
CT
02/05/1990 - 03/18/1991
ADVEST, INC. (HARTFORD CT)
BC
Issued 08/27/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/05/2004
Series 24 - General Securities Principal Examination
BC
Issued 06/24/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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