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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
BEAUMONT, TX
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 | Aug 31, 2023 | n/a | yes | BEAUMONT, TX | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 29, 2013 | Sep 6, 2023 | no | BEAUMONT, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Sep 6, 2023 | Aug 31, 2023 | -6 | Firm change | Wirehouse to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:793:TX:2023-09-01 | Sep 6, 2023 | Aug 31, 2023 | BEAUMONT, TX | Firm change |