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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

KIMBERLY ANNE FIGENBAUM

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

Boston, MA

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Search this name across graphsid dfx:ria:434c4fbd-2a89-9d5a-2759-ddab22da0ce3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 27, 2002 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 12, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Oct 12, 1993
First registration: Apr 27, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2395621

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	Apr 4, 2025	n/a	yes	Boston, MA	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Mar 24, 2021	May 30, 2025	no	BOSTON, MA\|Boston, MA	Previous registration
MCCARTER PRIVATE WEALTH SERVICES LLC	Independent wealth	Feb 15, 2012	Apr 8, 2014	no	BOSTON, MA	Previous registration
WINSLOW, EVANS & CROCKER, INC.	Former SEC adviser	Mar 30, 2009	Apr 13, 2021	no	BOSTON, MA\|BOSTON, MA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 16, 2002	Mar 30, 2009	no	ROCKLAND, MA\|HINGHAM, MA\|HINGHAM, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Apr 27, 2002	Sep 11, 2002	no	BOSTON, MA	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
B. RILEY WEALTH ADVISORS, INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	May 30, 2025	Apr 4, 2025	-56	Firm change after gap	Ibd to ibd
WINSLOW, EVANS & CROCKER, INC.	MCCARTER PRIVATE WEALTH SERVICES LLC	Apr 13, 2021	Feb 15, 2012	-3,345	Firm change after gap	Other
MCCARTER PRIVATE WEALTH SERVICES LLC	B. RILEY WEALTH ADVISORS, INC.	Apr 8, 2014	Mar 24, 2021	2,542	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WINSLOW, EVANS & CROCKER, INC.	Mar 30, 2009	Mar 30, 2009	0	Firm change	Other
STRATEGIC ADVISERS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 11, 2002	Sep 16, 2002	5	Firm change	Ibd to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
29686:108191:MA:2021-04-13	Apr 13, 2021	Feb 15, 2012	BOSTON, MA	Firm change after gap

Relationships

Registered with (6)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Apr 4, 2025 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 24, 2021 to May 30, 2025factForm ADV
→ WINSLOW, EVANS & CROCKER, INC.Registered adviserregistration: previous registration
Mar 30, 2009 to Apr 13, 2021factForm ADV
→ MCCARTER PRIVATE WEALTH SERVICES LLCRegistered adviserregistration: previous registration
Feb 15, 2012 to Apr 8, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 16, 2002 to Mar 30, 2009factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Apr 27, 2002 to Sep 11, 2002factForm ADV

Dated events

Occurred
May 30, 2025
Advisor changed firm
Kimberly Anne Figenbaum left B. Riley Wealth Advisors, Inc. for Stifel, Nicolaus & Company, Incorporated (registered 2025-04-04)
Form ADVobserved 5 days ago