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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
NEWPORT BEACH, 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 | May 3, 2021 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 26, 2010 | May 4, 2021 | no | NEWPORT BEACH, CA|NEWPORT BEACH, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Mar 11, 1999 | Nov 23, 2010 | no | NEW YORK, NY|NEWPORT BEACH, CA|NEWPORT BEACH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | STIFEL, NICOLAUS & COMPANY, INCORPORATED | May 4, 2021 | May 3, 2021 | -1 | Firm change | Wirehouse to ibd |
| CITIGROUP GLOBAL MARKETS INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Nov 23, 2010 | Oct 26, 2010 | -28 | Firm change | Other |