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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
FORT WORTH, TX
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 | Sep 19, 2025 | n/a | yes | FORT WORTH, TX | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Feb 20, 2009 | Sep 29, 2025 | no | FT. WORTH, TX|TOLAR, TX | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Dec 12, 1988 | Feb 23, 2009 | no | FORT WORTH, TX|FORT WORTH, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Sep 29, 2025 | Sep 19, 2025 | -10 | Firm change | Wirehouse to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Feb 23, 2009 | Feb 20, 2009 | -3 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:793:TX:2025-09-29 | Sep 29, 2025 | Sep 19, 2025 | TOLAR, TX | Firm change |