DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
MISSION VIEJO, 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 | Apr 21, 2011 | n/a | yes | MISSION VIEJO, CA | Current employment |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Apr 29, 2011 | no | LAGUNA NIGUEL, CA|Laguna Niguel, CA | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Apr 2, 2007 | Jun 1, 2009 | no | LAGUNA WOODS, CA | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Nov 2, 1998 | Apr 2, 2007 | no | LAGUNA WOODS, CA|LAGUNA WOODS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Apr 29, 2011 | Apr 21, 2011 | -8 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY & CO. LLC | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | MORGAN STANLEY & CO. LLC | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |