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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
CHICO, 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 | Aug 14, 2009 | n/a | yes | CHICO, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 17, 2006 | Aug 14, 2009 | no | CHICO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Aug 14, 2009 | Aug 14, 2009 | 0 | Firm change | Wirehouse to ibd |