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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
SAN DIEGO, CA
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 | Jul 31, 2015 | n/a | yes | SAN DIEGO, CA | Current employment |
| MORGAN STANLEY | Wirehouse | Dec 10, 2010 | Aug 7, 2015 | no | San Diego, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jul 8, 1997 | Dec 14, 2010 | no | SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Aug 7, 2015 | Jul 31, 2015 | -7 | Firm change | Wirehouse to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY | Dec 14, 2010 | Dec 10, 2010 | -4 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 149777:793:CA:2015-08-03 | Aug 7, 2015 | Jul 31, 2015 | SAN DIEGO, CA | Firm change |