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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

ELIZABETH ANDREA ALLEN

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

Heathrow, FL

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Search this name across graphsid dfx:ria:a32933bb-6f82-ccf2-a117-77490d839ed5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 20, 2003 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: Nov 1, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 1, 1996
First registration: Feb 20, 2003
Dual registered: yes, broker-dealer
Other names: LIZ ALLEN|ELIZABETH ANDREA GARDNER
IAPD individual key: 2789883

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	Mar 19, 2018	n/a	yes	Heathrow, FL	Current employment
B. C. ZIEGLER AND COMPANY	Former SEC adviser	Jan 9, 2017	Mar 21, 2018	no	Heathrow, FL\|CHICAGO, IL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 18, 2009	Dec 13, 2016	no	ORLANDO, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 26, 2006	Feb 12, 2009	no	LAKE MARY, FL\|WINTER PARK, FL\|ORLANDO, FL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Feb 20, 2003	Feb 24, 2006	no	ORLANDO, FL	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. C. ZIEGLER AND COMPANY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Mar 21, 2018	Mar 19, 2018	-2	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	B. C. ZIEGLER AND COMPANY	Dec 13, 2016	Jan 9, 2017	27	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 12, 2009	Feb 18, 2009	6	Firm change	Wirehouse to ibd
CHARLES SCHWAB & CO., INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 24, 2006	Apr 26, 2006	61	Firm change	Ibd to wirehouse

Relationships

Registered with (5)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Mar 19, 2018 to presentfactForm ADV
→ B. C. ZIEGLER AND COMPANYRegistered adviserregistration: previous registration
Jan 9, 2017 to Mar 21, 2018factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 18, 2009 to Dec 13, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 26, 2006 to Feb 12, 2009factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Feb 20, 2003 to Feb 24, 2006factForm ADV

Dated events

No dated event names this entity yet.