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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
SANTA BARBARA, 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 | Oct 6, 2023 | n/a | yes | SANTA BARBARA, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Oct 31, 2008 | Oct 17, 2023 | no | SANTA BARBARA, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Jul 8, 1997 | Nov 12, 2008 | no | SANTA BARBARA, CA|SANTA BARBARA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Oct 17, 2023 | Oct 6, 2023 | -11 | Firm change | Wirehouse to ibd |
| CITIGROUP GLOBAL MARKETS INC. | UBS FINANCIAL SERVICES INC. | Nov 12, 2008 | Oct 31, 2008 | -12 | Firm change | Other |