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.

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 10, 1993earliest registration or exam on IAPD

Years in industry

33derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Jul 10, 1993

First registration

Dec 6, 2004

Dual registered

yes, broker-dealer

Other names

JOHN DENNIS CARROLL

IAPD individual key

1196969

Graph

RIA / Wealth Management

Canonical id

dfx:ria:7bd1a9e0-12e1-0f03-cafe-fd4f2c37044a

First observed

Dec 6, 2004

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.