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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

ERIC ANDREW FINCH

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:27c93eed-2d6f-d523-4b43-7146f83a36f4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 4, 2019 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: Apr 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jan 11, 2018
First registration: Sep 4, 2019
Dual registered: yes, broker-dealer
Other names: Barney Finch|E Finch|Big E Finch|ERIC ANDREW FINCH|Eric Finch
IAPD individual key: 1354632

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	May 28, 2026	n/a	yes	ST. LOUIS, MO	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 24, 2020	Jan 9, 2026	no	ST. LOUIS, MO	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 4, 2019	Jan 10, 2020	no	ST. LOUIS, MO	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 4, 2019	Jan 10, 2020	no	St. Louis, MO	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
WELLS FARGO ADVISORS	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jan 9, 2026	May 28, 2026	139	Firm change	Wirehouse to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 10, 2020	Sep 4, 2019	-128	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jan 10, 2020	Sep 4, 2019	-128	Firm change after gap	Other

Relationships

Registered with (4)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
May 28, 2026 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 24, 2020 to Jan 9, 2026factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 4, 2019 to Jan 10, 2020factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 4, 2019 to Jan 10, 2020factForm ADV

Dated events

Occurred
Jan 9, 2026
Advisor changed firm
Eric Andrew Finch left Wells Fargo Advisors for Stifel, Nicolaus & Company, Incorporated (registered 2026-05-28)
Form ADVobserved 5 days ago