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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

CHRISTOPHER JAMES SIMMS

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

FRANKLIN, PA

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Search this name across graphsid dfx:ria:f0972907-2000-f4f5-ca56-e6fa768552d3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 28, 2008 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: May 22, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 22, 2008
First registration: May 28, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5506967

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	May 20, 2013	n/a	yes	FRANKLIN, PA	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 13, 2009	May 20, 2013	no	OIL CITY, PA\|CLARION, PA\|PUNXSUTAWNEY, PA\|SHIPPENVILLE, PA\|CLARION, PA\|CLARION, PA\|SHIPPENVILLE, PA\|PUNXSUTAWNEY, PA\|CLARION, PA\|CLARION, PA\|SAEGERTOWN, PA\|TITUSVILLE, PA\|OIL CITY, PA\|CLARION, PA\|PUNXSUTAWNEY, PA\|SHIPPENVILLE, PA\|CLARION, PA\|DUBOIS, PA\|OIL CITY, PA\|FRANKLIN, PA\|CRANBERRY, PA	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Apr 28, 2009	Nov 13, 2009	no	SAEGERTOWN, PA	Previous registration
EDWARD JONES	National bd RIA	May 28, 2008	Nov 25, 2008	no	ST LOUIS, MO\|GROVE CITY, PA	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
PNC WEALTH MANAGEMENT	STIFEL, NICOLAUS & COMPANY, INCORPORATED	May 20, 2013	May 20, 2013	0	Firm change	Other
NATCITY INVESTMENTS, INC.	PNC WEALTH MANAGEMENT	Nov 13, 2009	Nov 13, 2009	0	Bulk transfer	Other
EDWARD JONES	NATCITY INVESTMENTS, INC.	Nov 25, 2008	Apr 28, 2009	154	Firm change	Other

Relationships

Registered with (4)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
May 20, 2013 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 13, 2009 to May 20, 2013factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 28, 2009 to Nov 13, 2009factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
May 28, 2008 to Nov 25, 2008factForm ADV

Dated events

No dated event names this entity yet.