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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

BRIAN KENT MADDOX

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

SARASOTA, FL

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Search this name across graphsid dfx:ria:17ed0bee-3a97-6e36-3c5a-ddf68e265e4b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 19, 1999 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: Nov 17, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Nov 17, 1982
First registration: Jan 19, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 1062052

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	Dec 4, 2015	n/a	yes	SARASOTA, FL	Current employment
BARCLAYS CAPITAL INC.	Former SEC adviser	Mar 31, 2011	Dec 4, 2015	no	CHICAGO, IL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Apr 11, 2011	no	Chicago, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 19, 1999	Jun 1, 2009	no	CHICAGO, 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
BARCLAYS CAPITAL INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Dec 4, 2015	Dec 4, 2015	0	Bulk transfer	Other
MORGAN STANLEY	BARCLAYS CAPITAL INC.	Apr 11, 2011	Mar 31, 2011	-11	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Dec 4, 2015 to presentfactForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Mar 31, 2011 to Dec 4, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Apr 11, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 19, 1999 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.