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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
Concord, CA | WALNUT CREEK, 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 | Nov 2, 2011 | n/a | yes | Concord, CA|WALNUT CREEK, CA | Current employment |
| STONE & YOUNGBERG LLC | Former SEC adviser | Jan 8, 2004 | Nov 3, 2011 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| STONE & YOUNGBERG LLC | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Nov 3, 2011 | Nov 2, 2011 | -1 | Channel change | Other |