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 7, 1998earliest registration or exam on IAPD

Years in industry

27derivedfrom the industry start date

Years at current firm

10derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

3

Exams

S65|S63

First exam

Dec 7, 1998

First registration

Apr 9, 2010

Dual registered

yes, broker-dealer

Other names

THOMAS W LEE

IAPD individual key

3071694

Graph

RIA / Wealth Management

Canonical id

dfx:ria:07d7f355-c20a-8ede-12e3-80a9270fc064

First observed

Apr 9, 2010

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.