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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

GARY LYNN PHELPS

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

BARRINGTON, IL

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Search this name across graphsid dfx:ria:0b97dc27-86c3-8c35-010b-ca1777af89dd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 19, 2001 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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: May 29, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 29, 1997
First registration: Oct 19, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2875676

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Nov 8, 2019	n/a	yes	BARRINGTON, IL	Current employment
MORGAN STANLEY	Wirehouse	Mar 16, 2012	Nov 11, 2019	no	Barrington, IL\|BARRINGTON, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Mar 20, 2012	no	BUFFALO GROVE, IL\|DEER PARK, IL\|CHICAGO, IL	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 24, 2008	Oct 23, 2009	no	BUFFALO GROVE, IL	Previous registration
LASALLE FINANCIAL SERVICES, INC.	n/a	Oct 19, 2001	Oct 24, 2008	no	LINCOLNSHIRE, IL\|LAKE IN THE HILLS, IL\|SOUTH BARRINGTON, IL\|GRAYSLAKE, IL\|BUFFALO GROVE, IL\|VERNON HILLS, IL\|CHICAGO, IL\|VERNON HILLS, IL\|BUFFALO GROVE, IL\|MUNDELEIN, IL\|CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Nov 11, 2019	Nov 8, 2019	-3	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Mar 20, 2012	Mar 16, 2012	-4	Firm change	Wirehouse to wirehouse
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
LASALLE FINANCIAL SERVICES, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 24, 2008	Oct 24, 2008	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:793:IL:2019-11-01	Nov 11, 2019	Nov 8, 2019	BARRINGTON, IL	Firm change

Relationships

Registered with (5)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Nov 8, 2019 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 16, 2012 to Nov 11, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Mar 20, 2012factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 24, 2008 to Oct 23, 2009factForm ADV
→ LASALLE FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 19, 2001 to Oct 24, 2008factForm ADV

Dated events

No dated event names this entity yet.