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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | National bd RIA | Apr 17, 2025 | n/a | yes | HOUSTON, TX | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Oct 20, 2022 | Apr 29, 2025 | no | HOUSTON, TX|The Woodlands, TX|New Braunfels, TX|Houston, TX | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Oct 27, 2022 | no | Houston, TX | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Feb 12, 2008 | Jun 1, 2009 | no | WICHITA FALLS, TX|HOUSTON, TX|WICHITA FALLS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Apr 29, 2025 | Apr 17, 2025 | -12 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY | UBS FINANCIAL SERVICES INC. | Oct 27, 2022 | Oct 20, 2022 | -7 | Firm change | Wirehouse to wirehouse |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:793:TX:2025-04-28 | Apr 29, 2025 | Apr 17, 2025 | HOUSTON, TX | Firm change |