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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

MARK ANDREW SMITH

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

FRANKLIN, NC | CLEARWATER, FL

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Search this name across graphsid dfx:ria:d6a93235-c99c-d283-7d36-70cf8bdd8756

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 29, 1994 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 7, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63
First exam: Oct 7, 1987
First registration: Sep 29, 1994
Dual registered: yes, broker-dealer
Other names: MARK A SMITH
IAPD individual key: 1711887

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	Mar 1, 2013	n/a	yes	CLEARWATER, FL\|FRANKLIN, NC	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 13, 2013	no	CLEARWATER, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 22, 2003	Jun 1, 2009	no	CLEARWATER, FL\|CLEARWATER, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 29, 1994	Sep 3, 2002	no	CLEARWATER, FL	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
MORGAN STANLEY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Mar 13, 2013	Mar 1, 2013	-12	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	Sep 3, 2002	Apr 22, 2003	231	Firm change	Other

Relationships

Registered with (4)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Mar 1, 2013 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 13, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 22, 2003 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 29, 1994 to Sep 3, 2002factForm ADV

Dated events

No dated event names this entity yet.