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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
NEW YORK, NY | Sag Harbor, 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 | Dec 4, 2015 | n/a | yes | Sag Harbor, NY|NEW YORK, NY | Current employment |
| BARCLAYS CAPITAL INC. | Former SEC adviser | Jan 21, 2009 | Dec 4, 2015 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| LEHMAN BROTHERS INC. | n/a | May 29, 1996 | Oct 15, 2008 | no | NEW YORK, NY|NEW YORK, NY|NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| BARCLAYS CAPITAL INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Dec 4, 2015 | Dec 4, 2015 | 0 | Bulk transfer | Other |
| LEHMAN BROTHERS INC. | BARCLAYS CAPITAL INC. | Oct 15, 2008 | Jan 21, 2009 | 98 | Bulk transfer | Other |