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Stifel, Nicolaus & Company, Incorporated
St Louis, Missouri
3.4
14 Reviews
Stifel, Nicolaus & Company, Incorporated, based out of St. Louis, MO, is a prominent national investment advisory firm with a strong presence in the financial industry. With over 149,480 individual clients and an impressive $132,550,932,000 in assets under management, they have established themselves as a trusted partner for their clients' financial needs.
The firm boasts an extensive network of 460 offices across the country, allowing them to serve clients from various locations. Stifel, Nicolaus & Company, Incorporated offers a comprehensive range of services, including investment advisory, commodity pool operator or commodity ...see more
Assets Under Mgmt
$132.55B
Investment Professionals
3012
Locations
459
% 401K & Individual
% Discretionary
Compensation Structure
- A percentage of assets under your management
- Fixed Fees
- Commissions
Services Provided Section
- Financial Planning Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Pension consulting services
- Selection of other advisers
- Educational seminars/workshops
Other Business Activities
- Broker-dealer (Registered or unregistered)
- Commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
- Insurance broker or agent
- Registered municipal advisor
Disclosures
- Do any of the events below involve you or any of your supervised persons?
- Charged with a felony (10 yrs)
- SEC or CFTC found with a false statement or omission
- SEC or CFTC violation of regulation or statutes
- SEC or CFTC entered an order against you in connection to investment related activities
- SEC or CFTC imposed civil money penalty or cease and desist from an activity
- Found to have made false statement, ommision, unfair or Unethical by federal regulatory agency
- Found to have been involved in a violation of investment regulations or statutes by Federal regulatory agency
- Orders brought against in connection to investment related activities (10yrs)
- Had investment related business activity restricted by federal regulatory agency
- Self-regulatory organization found you made a false statement or omission
- Found to have been involved in a violation of self-regulatory organizations rules
- Disciplined by self-regulatory organization or commodities exchange
- Enjoined by domestic or foreign court in connect with investment-related activities (10 years)
- Found to be involved in a violation of investment-related activities by domestic or foreign court
Reviews for Stifel, Nicolaus & Company, Incorporated
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