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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

DAVID LAWRENCE THOMAS

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

BEAUMONT, TX

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Search this name across graphsid dfx:ria:b0d169a0-87ab-4e06-da69-c9ce387dbcf7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 23, 1999 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: Jan 30, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jan 30, 1987
First registration: Aug 23, 1999
Dual registered: yes, broker-dealer
Other names: DAVID LAWRENCE THOMAS|DAVID L THOMAS
IAPD individual key: 1615112

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	Oct 6, 2023	n/a	yes	BEAUMONT, TX	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 5, 2013	Oct 17, 2023	no	BEAUMONT, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 24, 2013	no	HOUSTON, TX\|HOUSTON, TX\|Houston, TX\|BEAUMONT, TX	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	HOUSTON, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 23, 1999	Apr 2, 2007	no	HOUSTON, TX\|HOUSTON, TX	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
UBS FINANCIAL SERVICES INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Oct 17, 2023	Oct 6, 2023	-11	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Jul 24, 2013	Jul 5, 2013	-19	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8174:793:TX:2023-10-16	Oct 17, 2023	Oct 6, 2023	BEAUMONT, TX	Firm change

Relationships

Registered with (5)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Oct 6, 2023 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 5, 2013 to Oct 17, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 24, 2013factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 23, 1999 to Apr 2, 2007factForm ADV

Dated events

Occurred
Oct 17, 2023
Advisor changed firm
David Lawrence Thomas left Ubs Financial Services Inc. for Stifel, Nicolaus & Company, Incorporated (registered 2023-10-06)
Form ADVobserved 5 days ago