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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
SCOTTSDALE, AZ
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 | Jun 22, 2011 | n/a | yes | SCOTTSDALE, AZ | Current employment |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Jun 28, 2011 | no | SCOTTSDALE, AZ | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Sep 8, 2003 | Jun 1, 2009 | no | SCOTTSDALE, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Jun 28, 2011 | Jun 22, 2011 | -6 | Firm change | Wirehouse to ibd |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |