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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
TUSCALOOSA, AL
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 5, 2015 | n/a | yes | TUSCALOOSA, AL | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 12, 2008 | Oct 2, 2015 | no | TUSCALOOSA, AL | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Nov 23, 2005 | Sep 29, 2008 | no | TUSCALOOSA, AL|TUSCALOOSA, AL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Oct 2, 2015 | Oct 5, 2015 | 3 | Firm change | Wirehouse to ibd |
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Sep 29, 2008 | Sep 12, 2008 | -17 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:793:AL:2015-10-02 | Oct 2, 2015 | Oct 5, 2015 | TUSCALOOSA, AL | Firm change |