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Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED
CROWN POINT, IN
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 | Feb 28, 2017 | n/a | yes | CROWN POINT, IN | Current employment |
| CITY SECURITIES CORPORATION | Former SEC adviser | May 15, 2009 | Feb 28, 2017 | no | CROWN POINT, IN|INDIANAPOLIS, IN | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 28, 2005 | May 21, 2009 | no | MERRILLVILLE, IN|MERRILLVILLE, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CITY SECURITIES CORPORATION | STIFEL, NICOLAUS & COMPANY, INCORPORATED | Feb 28, 2017 | Feb 28, 2017 | 0 | Bulk transfer | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CITY SECURITIES CORPORATION | May 21, 2009 | May 15, 2009 | -6 | Firm change | Other |