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

ROGER ALAN HUSE

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

COLUMBIA, SC

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Search this name across graphsid dfx:ria:827c494f-64e8-3ba9-e72d-f0b50b6a8d95

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 24, 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: May 29, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 29, 1997
First registration: Apr 24, 2002
Dual registered: yes, broker-dealer
Other names: ROGER A HUSE
IAPD individual key: 2880563

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	Jul 7, 2015	n/a	yes	COLUMBIA, SC	Current employment
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Jan 4, 2012	Jul 7, 2015	no	COLUMBIA, SC	Previous registration
ANDERSON & STRUDWICK, INCORPORATED	Former SEC adviser	Apr 4, 2005	Dec 12, 2011	no	COLUMBIA, SC\|MOUNT PLEASANT, SC\|CHARLOTTE, NC\|CHARLOTTE, NC\|COLUMBIA, SC\|CHARLOTTE, NC	Previous registration
A&S CAPITAL ADVISORS, INC.	n/a	Oct 4, 2004	Apr 4, 2005	no	RICHMOND, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 20, 2002	Oct 7, 2004	no	CHARLOTTE, NC	Previous registration
WACHOVIA SECURITIES, INC.	n/a	Apr 24, 2002	Jun 20, 2002	no	CHARLOTTE, NC	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
STERNE AGEE ASSET MANAGEMENT, INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jul 7, 2015	Jul 7, 2015	0	Bulk transfer	Other
ANDERSON & STRUDWICK, INCORPORATED	STERNE AGEE ASSET MANAGEMENT, INC.	Dec 12, 2011	Jan 4, 2012	23	Firm change	Other
A&S CAPITAL ADVISORS, INC.	ANDERSON & STRUDWICK, INCORPORATED	Apr 4, 2005	Apr 4, 2005	0	Firm change	Other
WELLS FARGO ADVISORS	A&S CAPITAL ADVISORS, INC.	Oct 7, 2004	Oct 4, 2004	-3	Firm change	Other
WACHOVIA SECURITIES, INC.	WELLS FARGO ADVISORS	Jun 20, 2002	Jun 20, 2002	0	Bulk transfer	Other

Relationships

Registered with (6)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Jul 7, 2015 to presentfactForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 4, 2012 to Jul 7, 2015factForm ADV
→ ANDERSON & STRUDWICK, INCORPORATEDRegistered adviserregistration: previous registration
Apr 4, 2005 to Dec 12, 2011factForm ADV
→ A&S CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
Oct 4, 2004 to Apr 4, 2005factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 20, 2002 to Oct 7, 2004factForm ADV
→ WACHOVIA SECURITIES, INC.Registered adviserregistration: previous registration
Apr 24, 2002 to Jun 20, 2002factForm ADV

Dated events

No dated event names this entity yet.