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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

JEFFREY JAMES WELLS

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:2e625b9b-3635-4c09-711e-e4054e98d971

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 12, 2001 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: May 6, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: May 6, 1988
First registration: Jan 12, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1143280

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	Feb 21, 2020	n/a	yes	SAN RAFAEL, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 19, 2012	Feb 24, 2020	no	MILL VALLEY, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 31, 2012	no	SAN RAFAEL, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jul 6, 2007	Jun 1, 2009	no	SAN RAFAEL, CA\|SAN RAFAEL, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Nov 11, 2003	Jul 19, 2007	no	SAN RAFAEL, CA\|SAN RAFAEL, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Nov 14, 2003	no	SAN FRANCISCO, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jan 12, 2001	Jul 1, 2003	no	SAN FRANCISCO, CA	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Feb 24, 2020	Feb 21, 2020	-3	Firm change	Wirehouse to ibd
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 31, 2012	Oct 19, 2012	-12	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY & CO. LLC	Jul 19, 2007	Jul 6, 2007	-13	Firm change	Other
WELLS FARGO ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Nov 14, 2003	Nov 11, 2003	-3	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:793:CA:2020-02-12	Feb 24, 2020	Feb 21, 2020	MILL VALLEY, CA	Firm change

Relationships

Registered with (7)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Feb 21, 2020 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 19, 2012 to Feb 24, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 31, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jul 6, 2007 to Jun 1, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Nov 11, 2003 to Jul 19, 2007factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Nov 14, 2003factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jan 12, 2001 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.