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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

JOHN FRASER LOMAX

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

BEL AIR, MD

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Search this name across graphsid dfx:ria:3d3d0500-b029-6c29-9968-5d0d558fda8d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 1, 1999 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: Oct 13, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 13, 1997
First registration: Jan 1, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 2929137

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	Jun 5, 2007	n/a	yes	BEL AIR, MD	Current employment
RYAN BECK & CO.	n/a	Dec 5, 2006	Jun 5, 2007	no	BEL AIR, MD	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Dec 7, 2006	no	BEL AIR, MD\|NEW YORK, NY\|BEL AIR, MD	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Jan 1, 1999	Feb 21, 2006	no	BEL AIR, MD	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
RYAN BECK & CO.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jun 5, 2007	Jun 5, 2007	0	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	RYAN BECK & CO.	Dec 7, 2006	Dec 5, 2006	-2	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Jun 5, 2007 to presentfactForm ADV
→ RYAN BECK & CO.Registered adviserregistration: previous registration
Dec 5, 2006 to Jun 5, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Dec 7, 2006factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Jan 1, 1999 to Feb 21, 2006factForm ADV

Dated events

No dated event names this entity yet.