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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
WASHINGTON, DC | Frederick, MD
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 | Mar 26, 2019 | n/a | yes | WASHINGTON, DC|Frederick, MD | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jun 8, 2017 | Mar 12, 2019 | no | PALO ALTO, CA|WASHINGTON, DC | Previous registration |
| MORGAN STANLEY | Wirehouse | Sep 3, 2014 | Jun 5, 2017 | no | Santa Rosa, CA|POTOMAC, MD | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Mar 12, 2019 | Mar 26, 2019 | 14 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jun 5, 2017 | Jun 8, 2017 | 3 | Firm change | Wirehouse to wirehouse |