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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
LOS ANGELES, CA
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 | Apr 5, 2025 | n/a | yes | LOS ANGELES, CA | Current employment |
| B. RILEY WEALTH ADVISORS, INC. | Bd affiliated wealth | Jul 26, 2022 | Apr 8, 2025 | no | Los Angeles, CA | Previous registration |
| B RILEY WEALTH MANAGEMENT | Former SEC adviser | Jan 26, 2018 | Dec 31, 2022 | no | Los Angeles, CA|Los Angeles, CA|Memphis, TN | Previous registration |
| OPPENHEIMER & CO. INC. | Bd affiliated wealth | Nov 15, 2007 | Jan 26, 2018 | no | LOS ANGELES, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Apr 22, 2005 | Sep 10, 2007 | no | WESTLAKE VILLAGE, CA|WESTLAKE VILLAGE, CA|WOODLAND HILLS, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jul 8, 1997 | Apr 27, 2005 | no | LOS ANGELES, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B. RILEY WEALTH ADVISORS, INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Apr 8, 2025 | Apr 5, 2025 | -3 | Bulk transfer | Ibd to ibd |
| B RILEY WEALTH MANAGEMENT | B. RILEY WEALTH ADVISORS, INC. | Dec 31, 2022 | Jul 26, 2022 | -158 | Bulk transfer | Ibd to ibd |
| OPPENHEIMER & CO. INC. | B RILEY WEALTH MANAGEMENT | Jan 26, 2018 | Jan 26, 2018 | 0 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | OPPENHEIMER & CO. INC. | Sep 10, 2007 | Nov 15, 2007 | 66 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Apr 27, 2005 | Apr 22, 2005 | -5 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 249:2543:CA:2018-01-26 | Jan 26, 2018 | Jan 26, 2018 | LOS ANGELES, CA | Firm change |