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RIA / WealthAdvisordual registered (broker-dealer)44 years in industry

KENNETH DAVID MILLER

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

LADERA RANCH, CA | PORTLAND, OR | BEND, OR

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Search this name across graphsid dfx:ria:4f9797d4-f5db-bc59-bdb3-7af3523bcc0f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 28, 2002 to Sep 15, 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: Dec 28, 1981earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Dec 28, 1981
First registration: Oct 28, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1025721

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 20, 2018	n/a	yes	LADERA RANCH, CA\|BEND, OR\|PORTLAND, OR	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 31, 2011	May 1, 2018	no	BEND, OR\|Ladera Ranch, CA\|LAKE OSWEGO, OR\|BEND, OR\|Ladera Ranch, CA\|Bend, OR\|PORTLAND, OR	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Nov 9, 2011	no	LA QUINTA, CA\|LA QUINTA, CA\|Lake Oswego, OR	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	LA QUINTA, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Oct 28, 2002	Apr 2, 2007	no	LA QUINTA, 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
UBS FINANCIAL SERVICES INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	May 1, 2018	Apr 20, 2018	-11	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Nov 9, 2011	Oct 31, 2011	-9	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	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
8174:793:OR:2018-05-01	May 1, 2018	Apr 20, 2018	PORTLAND, OR	Firm change

Relationships

Registered with (5)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Apr 20, 2018 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 31, 2011 to May 1, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Nov 9, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Oct 28, 2002 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.