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.

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

Dec 1, 1996earliest registration or exam on IAPD

Years in industry

29derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Mar 20, 1997

First registration

Jul 8, 1997

Dual registered

yes, broker-dealer

Other names

JERRY FIELDS|GERALD HOWARD FIELDS

IAPD individual key

2838532

• Occurred

  Aug 9, 2023
  Advisor changed firm

  Jerry Fields left Ubs Financial Services Inc. for Stifel, Nicolaus & Company, Incorporated (registered 2023-07-31)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:00dffcd0-fa6c-3a6d-f0bf-698be1bf40f6

First observed

Jul 8, 1997

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.