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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

JAMES MATTHEW DUNCAN

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

ST. LOUIS, MO

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Search this name across graphsid dfx:ria:b68c2ecd-1ad4-1eaa-4414-457ee0390b93

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 10, 2009 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: Oct 13, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 13, 2008
First registration: Mar 10, 2009
Dual registered: yes, broker-dealer
Other names: JIM DUNCAN
IAPD individual key: 5560221

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	Jan 19, 2017	n/a	yes	ST. LOUIS, MO	Current employment
STIFEL INDEPENDENT ADVISORS, LLC	Bd affiliated wealth	Nov 15, 2024	Aug 24, 2026	no	ST. LOUIS, MO	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Aug 1, 2012	Jan 4, 2017	no	ST LOUIS, MO\|ST LOUIS, MO\|ST LOUIS, MO\|ST LOUIS, MO\|BELLEVILLE, IL\|ARNOLD, MO\|ST LOUIS, MO\|ST LOUIS, MO	Previous registration
M&I INVESTMENT MANAGEMENT CORP.	Former SEC adviser	Apr 27, 2010	Apr 18, 2012	no	MILWAUKEE, WI	Previous registration
M&I FINANCIAL ADVISORS, INC.	Former SEC adviser	Mar 10, 2009	Aug 1, 2012	no	ST LOUIS, MO\|ST LOUIS, MO	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
STIFEL INDEPENDENT ADVISORS, LLC	n/a	Aug 24, 2026	n/a	n/a	Departure no registered destination	Departure
BMO HARRIS FINANCIAL ADVISORS, INC	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jan 4, 2017	Jan 19, 2017	15	Firm change	Other
M&I FINANCIAL ADVISORS, INC.	M&I INVESTMENT MANAGEMENT CORP.	Aug 1, 2012	Apr 27, 2010	-827	Bulk transfer	Other
M&I INVESTMENT MANAGEMENT CORP.	BMO HARRIS FINANCIAL ADVISORS, INC	Apr 18, 2012	Aug 1, 2012	105	Bulk transfer	Other

Relationships

Registered with (5)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Jan 19, 2017 to presentfactForm ADV
→ STIFEL INDEPENDENT ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 15, 2024 to Aug 24, 2026factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Aug 1, 2012 to Jan 4, 2017factForm ADV
→ M&I FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 10, 2009 to Aug 1, 2012factForm ADV
→ M&I INVESTMENT MANAGEMENT CORP.Registered adviserregistration: previous registration
Apr 27, 2010 to Apr 18, 2012factForm ADV

Dated events

Occurred
Aug 24, 2026
Advisor departed, no destination yet
James Matthew Duncan no longer registered at Stifel Independent Advisors, Llc; no later IA registration on IAPD
Form ADVobserved 6 days ago