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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
Roseville, CA | ROSEVILLE, 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 | Jan 4, 2012 | n/a | yes | ROSEVILLE, CA|Roseville, CA | Current employment |
| RBC CAPITAL MARKETS, LLC | National bd RIA | Sep 1, 2006 | Jan 6, 2012 | no | ROSEVILLE, CA|EL DORADO HILLS, CA | Previous registration |
| A. G. EDWARDS & SONS, INC. | n/a | Mar 30, 2001 | Sep 7, 2006 | no | LINCOLN HILLS, CA|LINCOLN, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| RBC CAPITAL MARKETS, LLC | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Jan 6, 2012 | Jan 4, 2012 | -2 | Firm change | Ibd to ibd |
| A. G. EDWARDS & SONS, INC. | RBC CAPITAL MARKETS, LLC | Sep 7, 2006 | Sep 1, 2006 | -6 | Firm change | Other |