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David Sliney

Senior Vice President & Director at Stifel, Nicolaus & Company

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

David Sliney is Senior Vice President & Director of Stifel, Nicolaus & Company, Incorporated, a ST Louis investment adviser managing $198B. David Sliney has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Stifel, Nicolaus & Company

Title on Schedule A
Senior Vice President & Director
Control
David Sliney is a control person of Stifel, Nicolaus & Company.
Ownership
An individual ownership band is not available in the source record.
Tenure
David Sliney has held the filed role since July 2020.

The firm

Stifel, Nicolaus & Company, Incorporated
ST Louis, MO

Form ADV filed 15 September 2026

$198B AUM236,191 clients3,079 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2004
  4. Passed Series 7 and Series 63 · 1993

Registrations and exams

Broker registration; no current adviser registration. David Sliney has passed 5 qualifying exams.

Examinations

Series 637 May 1993
Name
Uniform Securities Agent State Law Examination
Series 246 April 2004
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 73 March 1993
Name
General Securities Representative Examination

Individual record

Full name
David Dean Sliney
CRD
2276514
Firm
Stifel, Nicolaus & Company, Incorporated
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does David Sliney work?

David Sliney has been Senior Vice President & Director of Stifel, Nicolaus & Company, Incorporated since July 2020, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 15 September 2026

Does David Sliney have a current investment-adviser registration?

David Sliney has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has David Sliney passed?

David Sliney has passed 5 licensing exams: the Series 7, Series 63, Series 24, SIE and Series 99TO. The earliest, the Series 7, was passed in March 1993.

Source: IAPD individual record, checked 17 October 2026

Leadership at Stifel, Nicolaus & Company

Sources

  1. IAPD individual record, CRD 2276514. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Stifel, Nicolaus & Company, Incorporated, filed 15 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Sliney or Stifel, Nicolaus & Company, Incorporated and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.