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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

DIANE S DAWSON

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

WESTLAKE, OH

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Search this name across graphsid dfx:ria:f2ef718c-3403-c5df-8974-5439cc294f55

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Feb 27, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STIFEL, NICOLAUS & COMPANY, INCORPORATED
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 29, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jan 29, 1996
First registration: Feb 27, 2006
Dual registered: yes, broker-dealer
Other names: DIANE SUE DAWSON|DIANE S NAREWSKI|Diane Susan Dawson|DIANE S DAWSON
IAPD individual key: 2045748

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Oct 15, 2024	n/a	yes	WESTLAKE, OH	Current employment
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Nov 23, 2022	May 2, 2024	no	Akron, OH	Previous registration
LINEWEAVER WEALTH ADVISORS	Independent wealth	Jan 5, 2022	Oct 26, 2022	no	VALLEY VIEW, OH	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Apr 11, 2011	Jul 20, 2021	no	CLEVELAND, OH	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 19, 2010	Apr 21, 2011	no	AKRON, OH	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 29, 2010	no	WESTLAKE, OH\|Westlake, OH	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 27, 2006	Jun 1, 2009	no	NEW YORK, NY\|WESTLAKE, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ROBERT W. BAIRD & CO. INCORPORATED	STIFEL, NICOLAUS & COMPANY, INCORPORATED	May 2, 2024	Oct 15, 2024	166	Firm change	RIA to ibd
LINEWEAVER WEALTH ADVISORS	ROBERT W. BAIRD & CO. INCORPORATED	Oct 26, 2022	Nov 23, 2022	28	Firm change	RIA to RIA
ROBERT W. BAIRD & CO. INCORPORATED	LINEWEAVER WEALTH ADVISORS	Jul 20, 2021	Jan 5, 2022	169	Firm change	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ROBERT W. BAIRD & CO. INCORPORATED	Apr 21, 2011	Apr 11, 2011	-10	Firm change	Other
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 29, 2010	Nov 19, 2010	21	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (6)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Oct 15, 2024 to presentfactForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Nov 23, 2022 to May 2, 2024factForm ADV
→ LINEWEAVER WEALTH ADVISORSRegistered adviserregistration: previous registration
Jan 5, 2022 to Oct 26, 2022factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 19, 2010 to Apr 21, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 29, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 27, 2006 to Jun 1, 2009factForm ADV

Dated events

Occurred
May 2, 2024
Advisor changed firm
Diane S Dawson left Robert W. Baird & Co. Incorporated for Stifel, Nicolaus & Company, Incorporated (registered 2024-10-15)
Form ADVobserved 6 days ago
Occurred
Oct 26, 2022
Advisor changed firm
Diane S Dawson left Lineweaver Wealth Advisors for Robert W. Baird & Co. Incorporated (registered 2022-11-23)
Form ADVobserved 6 days ago