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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
BELLEVUE, WA
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 | Jul 15, 2020 | n/a | yes | BELLEVUE, WA | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Sep 16, 2010 | Jul 16, 2020 | no | BELLEVUE, WA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Sep 28, 2010 | no | Seattle, WA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Apr 5, 2005 | Jun 1, 2009 | no | SEATTLE, WA|SEATTLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Jul 16, 2020 | Jul 15, 2020 | -1 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY | WELLS FARGO ADVISORS | Sep 28, 2010 | Sep 16, 2010 | -12 | Firm change | Wirehouse to wirehouse |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |