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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
NEW YORK, NY
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 | Mar 29, 2019 | n/a | yes | NEW YORK, NY | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 5, 2009 | Apr 1, 2019 | no | NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Apr 1, 2019 | Mar 29, 2019 | -3 | Firm change | Wirehouse to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:793:NY:2019-04-01 | Apr 1, 2019 | Mar 29, 2019 | NEW YORK, NY | Firm change |