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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
MELVILLE, NY
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 | Oct 8, 2018 | n/a | yes | MELVILLE, NY | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Sep 18, 2009 | Oct 4, 2018 | no | GARDEN CITY, NY | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Apr 2, 2007 | Dec 15, 2008 | no | JERICHO, NY | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Sep 19, 2005 | Apr 2, 2007 | no | JERICHO, NY|JERICHO, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Oct 4, 2018 | Oct 8, 2018 | 4 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY & CO. LLC | UBS FINANCIAL SERVICES INC. | Dec 15, 2008 | Sep 18, 2009 | 277 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | MORGAN STANLEY & CO. LLC | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:793:NY:2018-10-04 | Oct 4, 2018 | Oct 8, 2018 | GARDEN CITY, NY | Firm change |