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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

BRENDA ANN STONE

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

SPOKANE, WA

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Search this name across graphsid dfx:ria:64d06bbb-8be6-18c0-9d4b-09c7f28bd2df

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 21, 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: Apr 3, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom 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: S66|S63
First exam: Apr 3, 1993
First registration: Oct 21, 2002
Dual registered: yes, broker-dealer
Other names: BRENDA ANN GREEN|BRENDA A STONE
IAPD individual key: 1096773

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	Aug 10, 2018	n/a	yes	SPOKANE, WA	Current employment
CETERA ADVISORS LLC	Former SEC adviser	Feb 28, 2012	Aug 4, 2018	no	SPOKANE VALLEY, WA\|GREENWOOD VILLAGE, CO	Previous registration
PACIFIC WEST FINANCIAL CONSULTANTS INC	Former SEC adviser	Mar 10, 2010	Feb 28, 2012	no	RENTON, WA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 12, 2006	Dec 31, 2008	no	SPOKANE, WA\|WEEHAWKEN, NJ\|SPOKANE, WA	Previous registration
PIPER SANDLER & CO.	Institutional manager	Oct 21, 2002	Aug 12, 2006	no	SPOKANE, WA\|SPOKANE, WA	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
CETERA ADVISORS LLC	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Aug 4, 2018	Aug 10, 2018	6	Firm change	Ibd to ibd
PACIFIC WEST FINANCIAL CONSULTANTS INC	CETERA ADVISORS LLC	Feb 28, 2012	Feb 28, 2012	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	PACIFIC WEST FINANCIAL CONSULTANTS INC	Dec 31, 2008	Mar 10, 2010	434	Firm change after gap	Other
PIPER SANDLER & CO.	UBS FINANCIAL SERVICES INC.	Aug 12, 2006	Aug 12, 2006	0	Bulk transfer	Other

Relationships

Registered with (5)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Aug 10, 2018 to presentfactForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Feb 28, 2012 to Aug 4, 2018factForm ADV
→ PACIFIC WEST FINANCIAL CONSULTANTS INCRegistered adviserregistration: previous registration
Mar 10, 2010 to Feb 28, 2012factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 12, 2006 to Dec 31, 2008factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Oct 21, 2002 to Aug 12, 2006factForm ADV

Dated events

No dated event names this entity yet.