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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

JAMES BENTON STAMBAUGH

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

CONSHOHOCKEN, PA | WEST CHESTER, PA

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Search this name across graphsid dfx:ria:8ef4276f-e34f-a785-d4c1-5a4ef7b42159

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2005 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: Feb 21, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Feb 21, 1984
First registration: Jun 15, 2005
Dual registered: yes, broker-dealer
Other names: JAMES B STAMBAUGH
IAPD individual key: 1235230

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	Oct 2, 2014	n/a	yes	CONSHOHOCKEN, PA\|WEST CHESTER, PA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 20, 2014	no	Newtown Square, PA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jul 31, 2007	Jun 1, 2009	no	WEST CHESTER, PA	Previous registration
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Jun 15, 2005	Aug 22, 2007	no	West Chester, PA	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
MORGAN STANLEY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Oct 20, 2014	Oct 2, 2014	-18	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
JANNEY MONTGOMERY SCOTT LLC	MORGAN STANLEY & CO. LLC	Aug 22, 2007	Jul 31, 2007	-22	Firm change	Other

Relationships

Registered with (4)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Oct 2, 2014 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 20, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jul 31, 2007 to Jun 1, 2009factForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Jun 15, 2005 to Aug 22, 2007factForm ADV

Dated events

No dated event names this entity yet.