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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

NICHOLAS JAMES CORRENTE

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

APPLETON, WI

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Search this name across graphsid dfx:ria:5ea3370a-2c21-ad84-3003-3de27afa2a76

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 1, 2002 to Sep 14, 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: Jul 3, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jul 3, 1997
First registration: Nov 1, 2002
Dual registered: yes, broker-dealer
Other names: NICHOLAS J CORRENTE
IAPD individual key: 2903981

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	Mar 16, 2018	n/a	yes	APPLETON, WI	Current employment
B. C. ZIEGLER AND COMPANY	Former SEC adviser	May 4, 2017	Mar 16, 2018	no	APPLETON, WI\|CHICAGO, IL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	May 9, 2017	no	APPLETON, WI\|FOND DU LAC, WI\|FOND DU LAC, WI\|GREEN BAY, WI\|WAUPACA, WI\|APPLETON, WI\|SEYMOUR, WI\|OSHKOSH, WI\|OSHKOSH, WI\|APPLETON, WI\|NEW FRANKEN, WI\|NEENAH, WI\|ANTIGO, WI\|STEVENS POINT, WI\|APPLETON, WI\|LARSEN, WI\|GREEN BAY, WI\|FREEDOM, WI\|DE PERE, WI\|APPLETON, WI\|GREEN BAY, WI\|GREEN BAY, WI\|FOND DU LAC, WI\|APPLETON, WI\|APPLETON, WI\|APPLETON, WI\|FREEDOM, WI	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 6, 2005	Oct 1, 2012	no	APPLETON, WI\|APPLETON, WI\|STEVENS POINT, WI\|APPLETON, WI\|FOND DU LAC, WI\|FOND DU LAC, WI\|WEST BEND, WI\|WEST BEND, WI\|GREEN BAY, WI\|GREEN BAY, WI\|DE PERE, WI\|FREEDOM, WI\|GREEN BAY, WI\|LARSEN, WI\|APPLETON, WI\|ANTIGO, WI\|NEENAH, WI\|NEW FRANKEN, WI\|APPLETON, WI\|OSHKOSH, WI\|OSHKOSH, WI\|SEYMOUR, WI\|WAUPACA, WI\|GREEN BAY, WI	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Nov 1, 2002	Jul 6, 2005	no	APPLETON, WI	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
B. C. ZIEGLER AND COMPANY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Mar 16, 2018	Mar 16, 2018	0	Bulk transfer	Other
J.P. MORGAN SECURITIES LLC	B. C. ZIEGLER AND COMPANY	May 9, 2017	May 4, 2017	-5	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
BANC ONE SECURITIES CORPORATION	CHASE INVESTMENT SERVICES CORP.	Jul 6, 2005	Jul 6, 2005	0	Bulk transfer	Other

Relationships

Registered with (5)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Mar 16, 2018 to presentfactForm ADV
→ B. C. ZIEGLER AND COMPANYRegistered adviserregistration: previous registration
May 4, 2017 to Mar 16, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to May 9, 2017factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 6, 2005 to Oct 1, 2012factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Nov 1, 2002 to Jul 6, 2005factForm ADV

Dated events

No dated event names this entity yet.