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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
HAUPPAUGE, NY
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 | May 26, 2021 | n/a | yes | HAUPPAUGE, NY | Current employment |
| FIRST EMPIRE ASSET MANAGEMENT, INC | Former SEC adviser | Jan 24, 2012 | Jan 10, 2019 | no | HAUPPAUGE, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIRST EMPIRE ASSET MANAGEMENT, INC | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Jan 10, 2019 | May 26, 2021 | 867 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 134411:793:NY:2019-01-10 | Jan 10, 2019 | May 26, 2021 | HAUPPAUGE, NY | Firm change after gap |