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Reading the graph
Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
SAVANNAH, GA
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 | Sep 25, 2009 | n/a | yes | SAVANNAH, GA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Dec 9, 2002 | Sep 25, 2009 | no | SAVANNAH, GA|SAVANNAH, GA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 27, 1999 | Dec 10, 2002 | no | SAVANNAH, GA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Sep 25, 2009 | Sep 25, 2009 | 0 | Bulk transfer | Wirehouse to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Dec 10, 2002 | Dec 9, 2002 | -1 | Firm change | Wirehouse to wirehouse |