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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
Miami, FL | Coral Gables, FL
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 | Apr 4, 2025 | n/a | yes | Miami, FL|Coral Gables, FL | Current employment |
| B. RILEY WEALTH ADVISORS, INC. | Bd affiliated wealth | Aug 5, 2022 | Apr 8, 2025 | no | Miami, FL|Miami, FL | Previous registration |
| B RILEY WEALTH MANAGEMENT | Former SEC adviser | Jan 22, 2015 | Dec 31, 2022 | no | Miami, FL|MEMPHIS, TN|Miami, FL | Previous registration |
| DOMINICK & DOMINICK LLC | Former SEC adviser | Aug 10, 2006 | Jan 26, 2015 | no | MIAMI, FL|MIAMI, FL | Previous registration |
| CREDIT SUISSE SECURITIES (USA) LLC | Former SEC adviser | Jan 17, 2003 | Feb 22, 2005 | no | MIAMI, FL | Previous registration |
| PERSHING LLC | n/a | Nov 3, 1989 | Jan 17, 2003 | no | MIAMI, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B. RILEY WEALTH ADVISORS, INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Apr 8, 2025 | Apr 4, 2025 | -4 | Bulk transfer | Ibd to ibd |
| B RILEY WEALTH MANAGEMENT | B. RILEY WEALTH ADVISORS, INC. | Dec 31, 2022 | Aug 5, 2022 | -148 | Bulk transfer | Ibd to ibd |
| DOMINICK & DOMINICK LLC | B RILEY WEALTH MANAGEMENT | Jan 26, 2015 | Jan 22, 2015 | -4 | Firm change | Other |
| CREDIT SUISSE SECURITIES (USA) LLC | DOMINICK & DOMINICK LLC | Feb 22, 2005 | Aug 10, 2006 | 534 | Firm change after gap | Other |
| PERSHING LLC | CREDIT SUISSE SECURITIES (USA) LLC | Jan 17, 2003 | Jan 17, 2003 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7344:2543:FL:2015-01-26 | Jan 26, 2015 | Jan 22, 2015 | MIAMI, FL | Firm change |