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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
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 | Jun 23, 2015 | n/a | yes | WALNUT CREEK, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 21, 2003 | Jun 23, 2015 | no | WALNUT CREEK, CA|WALNUT CREEK, CA|WALNUT CREEK, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Jun 23, 2015 | Jun 23, 2015 | 0 | Firm change | Wirehouse to ibd |