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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

JAMES PETER MANOS

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

DUBLIN, OH | Fort Pierce, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ff4de4fb-5324-002a-d219-730f099fef04

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 2, 2006 to Sep 15, 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 26, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: May 26, 1993
First registration: Nov 2, 2006
Dual registered: yes, broker-dealer
Other names: JIM MANOS
IAPD individual key: 2197058

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	Apr 27, 2016	n/a	yes	Fort Pierce, FL\|DUBLIN, OH	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 9, 2007	Apr 26, 2016	no	COLUMBUS, OH\|DUBLIN, OH\|DUBLIN, OH\|WEEHAWKEN, NJ\|Columbus, OH\|COLUMBUS, OH\|COLUMBUS, OH	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	Nov 2, 2006	Feb 9, 2007	no	DUBLIN, OH\|DUBLIN, OH	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
UBS FINANCIAL SERVICES INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Apr 26, 2016	Apr 27, 2016	1	Firm change	Wirehouse to ibd
KEYBANC CAPITAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Feb 9, 2007	Feb 9, 2007	0	Bulk transfer	Other

Relationships

Registered with (3)

→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Apr 27, 2016 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 9, 2007 to Apr 26, 2016factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
Nov 2, 2006 to Feb 9, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ff4de4fb-5324-002a-d219-730f099fef04
First observed: Nov 2, 2006
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES PETER MANOS

Advisor at STIFEL, NICOLAUS & COMPANY, INCORPORATED

DUBLIN, OH | Fort Pierce, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ff4de4fb-5324-002a-d219-730f099fef04

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:44 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

STIFEL, NICOLAUS & COMPANY, INCORPORATED

National bd RIA

Apr 27, 2016

n/a

yes

Fort Pierce, FL|DUBLIN, OH

Current employment

UBS FINANCIAL SERVICES INC.

Wirehouse

Feb 9, 2007

Apr 26, 2016

Previous registration

KEYBANC CAPITAL MARKETS INC.

n/a

Nov 2, 2006

Feb 9, 2007

DUBLIN, OH|DUBLIN, OH

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

UBS FINANCIAL SERVICES INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Apr 26, 2016

Apr 27, 2016

Firm change

Wirehouse to ibd

KEYBANC CAPITAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

Feb 9, 2007

Bulk transfer

Other