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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

GARY STEVEN BROCHIN

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

SARASOTA, FL | ATLANTA, GA

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Search this name across graphsid dfx:ria:9025441d-e17c-dded-7934-2665a1022b03

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 26, 2002 to Sep 15, 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 17, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: May 17, 1985
First registration: Jul 26, 2002
Dual registered: yes, broker-dealer
Other names: GARY BROCHIN
IAPD individual key: 1365990

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	Jun 1, 2016	n/a	yes	ATLANTA, GA\|SARASOTA, FL	Current employment
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Feb 10, 2015	Jun 1, 2016	no	New York, NY\|Atlanta, GA\|ATLANTA, GA\|Memphis, TN	Previous registration
DOMINICK & DOMINICK LLC	Former SEC adviser	Jun 26, 2006	Jan 26, 2015	no	ATLANTA, GA\|ATLANTA, GA\|NEW YORK, NY	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Jun 30, 2005	Jun 9, 2006	no	ATLANTA, GA\|ATLANTA, GA	Previous registration
TRUIST SECURITIES, INC.	n/a	Nov 4, 2002	Jul 15, 2005	no	ATLANTA, GA	Previous registration
PERSHING LLC	n/a	Jul 26, 2002	Nov 12, 2002	no	ATLANTA, GA	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 RILEY WEALTH MANAGEMENT	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jun 1, 2016	Jun 1, 2016	0	Firm change	Other
DOMINICK & DOMINICK LLC	B RILEY WEALTH MANAGEMENT	Jan 26, 2015	Feb 10, 2015	15	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	DOMINICK & DOMINICK LLC	Jun 9, 2006	Jun 26, 2006	17	Firm change	Other
TRUIST SECURITIES, INC.	SUNTRUST INVESTMENT SERVICES, INC.	Jul 15, 2005	Jun 30, 2005	-15	Firm change	Other
PERSHING LLC	TRUIST SECURITIES, INC.	Nov 12, 2002	Nov 4, 2002	-8	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7344:2543:NY:2015-01-26	Jan 26, 2015	Feb 10, 2015	NEW YORK, NY	Firm change

Relationships

Registered with (6)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Jun 1, 2016 to presentfactForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 10, 2015 to Jun 1, 2016factForm ADV
→ DOMINICK & DOMINICK LLCRegistered adviserregistration: previous registration
Jun 26, 2006 to Jan 26, 2015factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jun 30, 2005 to Jun 9, 2006factForm ADV
→ TRUIST SECURITIES, INC.Registered adviserregistration: previous registration
Nov 4, 2002 to Jul 15, 2005factForm ADV
→ PERSHING LLCRegistered adviserregistration: previous registration
Jul 26, 2002 to Nov 12, 2002factForm ADV

Dated events

No dated event names this entity yet.