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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

LORI ANN RIFFLE

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

ROSEVILLE, CA

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Search this name across graphsid dfx:ria:fc3f68cd-9ba3-2187-dda2-5a8d92b3e684

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 10, 2000 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: Aug 22, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Aug 22, 1995
First registration: Oct 10, 2000
Dual registered: yes, broker-dealer
Other names: LORI ANN RIFFLE
IAPD individual key: 2644083

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	Jun 18, 2015	n/a	yes	ROSEVILLE, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 13, 2015	no	Roseville, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Dec 10, 2007	Jun 1, 2009	no	ROSEVILLE, CA\|FOLSOM, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Dec 5, 2007	no	ROSEVILLE, CA\|ROSEVILLE, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Oct 10, 2000	Jul 1, 2003	no	ROSEVILLE, CA	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
MORGAN STANLEY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jul 13, 2015	Jun 18, 2015	-25	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	MORGAN STANLEY & CO. LLC	Dec 5, 2007	Dec 10, 2007	5	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (5)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Jun 18, 2015 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 13, 2015factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Dec 10, 2007 to Jun 1, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Dec 5, 2007factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Oct 10, 2000 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.