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Patrick David

Stifel, Nicolaus & Company, Incorporated
32 Years of Experience
Birmingham, AL
1 DisclosureBroker
View SEC Summary
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Patrick David is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Birmingham, AL, with 32 years of industry experience. Patrick is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

800 Shades Creek Parkway, Suites 750 & 775, Birmingham, AL, 35209

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Patrick is involved in two real estate ventures: Gunski LLC for real estate investment, and Rectory, LLC for single property real estate ownership. These activities take minimal time and are investment-related.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
July 2015 - Present · 11 yrs 3 mos
Stifel, Nicolaus & Company, Incorporated
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Sterne, Agee & Leach, INC.Broker
July 2009 - July 2015 · 6 yrs
Sterne Agee Asset Management, INC.
July 2009 - July 2015 · 6 yrs
Nbc Securities, INC.
July 2001 - August 2009 · 8 yrs 1 mo
Nbc Securities, INC.Broker
July 1997 - August 2009 · 12 yrs 1 mo
Sterne, Agee & Leach, INC.Broker
April 1994 - August 1997 · 3 yrs 4 mos
State Registrations21 states
ALAZCACTDEFLGAHIIDILLAMOMSNCOHPASCTNTXUTVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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