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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
NEW ORLEANS, LA | Baton Rouge, LA
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 | Jul 19, 2018 | n/a | yes | Baton Rouge, LA|NEW ORLEANS, LA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Dec 13, 2006 | Jul 3, 2018 | no | BATON ROUGE, LA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 13, 1990 | Dec 15, 2006 | no | LAFAYETTE, LA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Jul 3, 2018 | Jul 19, 2018 | 16 | Firm change | Wirehouse to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Dec 15, 2006 | Dec 13, 2006 | -2 | Firm change | Wirehouse to wirehouse |