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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
San Clemente, CA | IRVINE, 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 | Feb 22, 2019 | n/a | yes | IRVINE, CA|San Clemente, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 2, 2004 | Feb 26, 2019 | no | IRVINE, CA|LAGUNA HILLS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Feb 26, 2019 | Feb 22, 2019 | -4 | Firm change | Wirehouse to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:793:CA:2019-02-26 | Feb 26, 2019 | Feb 22, 2019 | LAGUNA HILLS, CA | Firm change |