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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
LOS ANGELES, CA | Tarzana, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| STIFEL, NICOLAUS & COMPANY, INCORPORATED | National bd RIA | Jun 7, 2011 | n/a | yes | LOS ANGELES, CA|Tarzana, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jul 8, 1997 | Jun 10, 2011 | no | Los Angeles, CA|CENTURY CITY, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Jun 10, 2011 | Jun 7, 2011 | -3 | Firm change | Wirehouse to ibd |