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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
ROCHESTER, MN | WAYZATA, MN | GOLDEN VALLEY, MN
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 | Jul 19, 2021 | n/a | yes | WAYZATA, MN|GOLDEN VALLEY, MN|ROCHESTER, MN | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Apr 1, 2011 | Aug 12, 2021 | no | MINNEAPOLIS, MN|ST PAUL, MN|MINNETONKA, MN|WEEHAWKEN, NJ|Kansas City, MO|WICHITA, KS|LEAWOOD, KS|BLOOMINGTON, MN|ST PAUL, MN|Bloomington, MN|Bloomington, MN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Aug 12, 2021 | Jul 19, 2021 | -24 | Firm change | Wirehouse to ibd |