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

THOMAS LEE UDELSON

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

PEPPER PIKE, OH

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Search this name across graphsid dfx:ria:9b5df4d4-986c-0d5c-ecec-36270adc2d9a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 22, 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: Apr 17, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 17, 1984
First registration: Nov 22, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 1254444

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	Apr 4, 2025	n/a	yes	PEPPER PIKE, OH	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jul 28, 2022	Apr 8, 2025	no	Beachwood,, OH	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Oct 27, 2010	Dec 31, 2022	no	Mentor, OH	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Mar 13, 2009	Oct 15, 2010	no	BEACHWOOD, OH	Previous registration
FERRIS, BAKER WATTS, LLC	n/a	Nov 22, 2002	Mar 13, 2009	no	BEACHWOOD, OH\|BEACHWOOD, OH	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 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	Jul 28, 2022	-156	Bulk transfer	Ibd to ibd
RBC CAPITAL MARKETS, LLC	B RILEY WEALTH MANAGEMENT	Oct 15, 2010	Oct 27, 2010	12	Firm change	Other
FERRIS, BAKER WATTS, LLC	RBC CAPITAL MARKETS, LLC	Mar 13, 2009	Mar 13, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Apr 4, 2025 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 28, 2022 to Apr 8, 2025factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Oct 27, 2010 to Dec 31, 2022factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Mar 13, 2009 to Oct 15, 2010factForm ADV
→ FERRIS, BAKER WATTS, LLCRegistered adviserregistration: previous registration
Nov 22, 2002 to Mar 13, 2009factForm ADV

Dated events

No dated event names this entity yet.