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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Joseph Isidro Laxamana

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

HONOLULU, HI

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Search this name across graphsid dfx:ria:e14b56c7-a830-8bc3-695c-5df529415eef

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Feb 8, 2022 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 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 12, 2021
First registration: Feb 8, 2022
Dual registered: yes, broker-dealer
Other names: JOEY ISIDRO LAXAMANA|JOE LAXAMANA
IAPD individual key: 4670953

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	Sep 16, 2025	n/a	yes	HONOLULU, HI	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 7, 2025	Sep 9, 2025	no	Honolulu, HI\|HONOLULU, HI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 12, 2024	Dec 20, 2024	no	HONOLULU, HI\|PACIFIC GROVE, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 8, 2022	Sep 18, 2024	no	Honolulu, HI\|Honolulu, HI	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
AMERIPRISE FINANCIAL SERVICES, LLC	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Sep 9, 2025	Sep 16, 2025	7	Firm change	Ibd to ibd
LPL FINANCIAL LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 20, 2024	May 7, 2025	138	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Sep 18, 2024	Nov 12, 2024	55	Firm change	Ibd to ibd

Relationships

Registered with (3)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Sep 16, 2025 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 7, 2025 to Sep 9, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 12, 2024 to Dec 20, 2024factForm ADV

Dated events

Occurred
Sep 9, 2025
Advisor changed firm
Joseph Isidro Laxamana left Ameriprise Financial Services, Llc for Stifel, Nicolaus & Company, Incorporated (registered 2025-09-16)
Form ADVobserved 5 days ago
Occurred
Dec 20, 2024
Advisor changed firm
Joseph Isidro Laxamana left Lpl Financial Llc for Ameriprise Financial Services, Llc (registered 2025-05-07)
Form ADVobserved 5 days ago
Occurred
Sep 18, 2024
Advisor changed firm
Joseph Isidro Laxamana left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2024-11-12)
Form ADVobserved 5 days ago