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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

MICHAEL JOSEPH HARKINS

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

BELLEVUE, WA

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Search this name across graphsid dfx:ria:b5e0d271-eda0-2e9c-742d-4d84a917f2fa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 22, 1996 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: Aug 3, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Aug 3, 1984
First registration: May 22, 1996
Dual registered: yes, broker-dealer
IAPD individual key: 1282819

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	Apr 8, 2013	n/a	yes	BELLEVUE, WA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jun 1, 2011	Apr 5, 2013	no	BELLEVUE, WA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Jun 1, 2011	no	BELLEVUE, WA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	May 22, 1996	Jan 3, 2011	no	BELLEVUE, WA\|BELLEVUE, WA\|BELLEVUE, WA	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
WELLS FARGO ADVISORS	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Apr 5, 2013	Apr 8, 2013	3	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Jun 1, 2011	Jun 1, 2011	0	Channel change	Wirehouse to wirehouse
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (4)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Apr 8, 2013 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 1, 2011 to Apr 5, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Jun 1, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 22, 1996 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.