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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
ST LOUIS, MO
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 | Feb 27, 2023 | n/a | yes | ST LOUIS, MO | Current employment |
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | Former SEC adviser | Jul 13, 2018 | Mar 2, 2023 | no | BOSTON, MA | Previous registration |
| STRATEGIC ADVISERS LLC | National bd RIA | Jun 6, 2017 | Jul 13, 2018 | no | CHESTERFIELD, MO | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | May 23, 2013 | Apr 12, 2017 | no | Chesterfield, MO | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Jul 20, 2010 | May 4, 2012 | no | Clayton, MO|CLAYTON, MO | Previous registration |
| WANGER OMNIWEALTH, LLC | Former SEC adviser | Dec 21, 2009 | Dec 31, 2010 | no | DES PERES, MO | Previous registration |
| Omniwealth | n/a | Oct 22, 2009 | Dec 21, 2009 | no | DES PERES, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIDELITY PERSONAL AND WORKPLACE ADVISORS | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Mar 2, 2023 | Feb 27, 2023 | -3 | Firm change | Ibd to ibd |
| STRATEGIC ADVISERS LLC | FIDELITY PERSONAL AND WORKPLACE ADVISORS | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |
| CHARLES SCHWAB & CO., INC. | STRATEGIC ADVISERS LLC | Apr 12, 2017 | Jun 6, 2017 | 55 | Firm change | Ibd to ibd |
| J.P. MORGAN SECURITIES LLC | CHARLES SCHWAB & CO., INC. | May 4, 2012 | May 23, 2013 | 384 | Firm change | Wirehouse to ibd |
| WANGER OMNIWEALTH, LLC | J.P. MORGAN SECURITIES LLC | Dec 31, 2010 | Jul 20, 2010 | -164 | Firm change after gap | Other |
| Omniwealth | WANGER OMNIWEALTH, LLC | Dec 21, 2009 | Dec 21, 2009 | 0 | Firm change | Other |