Stifel advisory fees. Each Client pays a maximum Stifel Fee of 2.

Stifel advisory fees In most instances, fees are charged to your account on a quarterly basis. Oct 27, 2023 · The average advisor fees charged by brokerage range from 0. Stifel research is the building block on which discretionary accounts are managed. Inc. com. This brochure focuses on our Advisory Consulting Services; we also offer wrap fee programs and fee-based financial planning, which are covered in separate brochures. We also offer other advisory programs, including (but not limited to) advisory consulting services Fees may vary depending on circumstances, and Stifel and Stifel IRA Custodian reserve the right to waive fees and charges in their discretion. , a 5 days ago · Stifel was also ordered to pay almost $121,000 to Sapient’s backer, private equity firm Lee Equity, for costs it incurred during discovery as well as the entire $45,600 in hearing session fees. Mar 14, 2025 · The final award included $26. With headquarters located in St. The Company provides securities brokerage, investment banking, trading, investment advisory, and related financial services to individual investors, professional money managers, businesses, and municipalities. A Stifel representative declined to comment on the ruling. These minimums vary by the exact program selected. As a multi-generational family-owned practice, we deeply understand the importance of family and have helped generations in their endeavors to protect their assets and find happiness. Jun 19, 2024 · John Woeste is a financial advisor based in Dayton, Ohio, working with Stifel Independent Advisors, LLC. , and an affi liate of Stifel Nicolaus. Fees and Compensation. In January 2017, we standardized our fee schedules for the advisory programs covered in this brochure. 2 Stifel Independent Advisors is a broker-dealer and an investment adviser registered with the Securities and Exchange Commission (“SEC”). Stifel receives from certain market centers either cash Dec 27, 2024 · Like other firms, Stifel’s fee structure depends on the services you select. com) or you will be able to reach the Stifel Independent Advisors home office at (800) 488-7994 or Stifel’s Client Services The ongoing fees Stifel and your Financial Advisor may receive from the mutual fund company are based upon the amount of your investment held with the fund and are paid in consideration of the ongoing servicing and operational support provided. Rex has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in Michigan. 5% (as defined in the Section titled “Fees and Compensation”). Clients should note, however, that the Stifel Fee does not include any specific In January 2017, Stifel standardized its fee schedules for the advisory programs covered in this brochure. About Stifel Independent Advisors, LLC Stifel Independent Advisors, LLC (“Stifel Independent” or the “Firm”) is a broker-dealer that has been registered with the SEC since March 1991 and an investment adviser that has been registered with the SEC since March 19, 1993. According to the advisor, this covers research, transaction cost, rebalancing, the advisor's 'advice', etc. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm. Paul has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in Connecticut and New York. Stifel Independent Advisors is owned by Stifel Financial Corp. Mar 12, 2025 · Stifel Bank and Stifel Bank & Trust offer a full range of consumer and commercial lending solutions. Advisor Defied Restraining Order Vanguard Faces Class-Action Suit Over $100 Exit Fee How to Stifel is a full service brokerage and investment banking firm. Christopher Berg is a financial advisor based in Rochester, Minnesota, working with Stifel, Nicolaus & Company, Inc. Stifel Trust offers a full array of quality personal trust services for individuals and Management Consulting Programs generally pay an annualized wrap fee that includes certain fees and charges for the services of the Investment Manager and Stifel, including costs related to transactions in client accounts effected through Stifel. The wealth advisory business is great About this Advisor. • Asset-based fees are calculated as a percentage of the assets (including cash) in your advisory account. WCA also provides non-discretionary investment advisory services in the form of model portfolios Rex Stanczak is a financial advisor based in Ann Arbor, Michigan, working with Stifel, Nicolaus & Company, Inc. Robert Thompson is a financial advisor based in Stockton, California, working with Stifel, Nicolaus & Company, Inc. Stifel, Nicolaus & Company, Incorporated Overview. Effective as of October 24, 2015, Stifel raised the fee schedules (or specific tiers of such “Having joined Stifel through their acquisition of Barclay’s Wealth division, I’ve witnessed first-hand how culture can impact an advisors’ ability to serve their clients. Clients should note, however, that the Stifel Advisory Fee does not group Horizon Program accounts into fee households with all other Stifel Advisory Program accounts in order to take advantage of potential fee house-holding discounts. Unless otherwise specified, references to Stifel may mean Stifel About this Advisor. Francis has previously held positions at Stifel, Nicolaus & Company, Inc and Robert W Baird & Company. Jun 19, 2024 · About this Advisor. The following is a list of securities that may be traded in your brokerage account for which the Firms may receive direct Investment management fees: For ongoing investment management, most clients of Stifel, Nicolaus & Company will pay an advisory fee that is calculated as a percentage of assets under management. In the section – Fees and Compensation – Stifel Fee – we also note that we do not reduce the wrap fee that you have agreed to pay when you elect not to receive any of the services that would otherwise have been covered by a wrap fee. In advisory, instead of transaction-based fees, you will typically pay Stifel an “asset-based” fee at the beginning of each quarter. Chuck Roberts, the Stifel advisor linked to this case, faced 22 customer complaints about structured notes, with claims over $42 million. Effective as of October 24, 2015, Stifel raised the fee schedules (or specific tiers of such group Horizon Program accounts into fee households with all other Stifel Advisory Program accounts in order to take advantage of potential fee house-holding discounts. Index returns include the reinvestment of dividends but do not include adjustments for brokerage, custodian, and advisory fees. Stifel, Nicolaus & Company, Incorporated 501 North Broadway St. As part of the Stifel family, we embrace the fi rm’s pursuit of excellence and desire to exceed client expectations. If your Plan utilizes a Stifel-sponsored plan document prototype, your accounts are charged an annual fee. gov. com and www. Mar 12, 2025 · Stifel last year was ordered to pay $2. 4 million and $14. Jun 19, 2024 · Scott Metzner is a financial advisor based in Port Huron, Michigan, working with Stifel Independent Advisors, LLC. Curtis Finnicum is a financial advisor based in Great Falls, Montana, working with Stifel, Nicolaus & Company, Inc. To learn more about Stifel, please visit the Company’s website at www. Curtis has previously held positions at Wells Fargo Advisors, LLC, Wells Fargo Clearing Services, LLC, and Stifel Nicolaus & Co Inc. That means that if you’re given an annual percentage rate, it will be split into four even charges over the year. 3 million in two separate awards in November and October. 5 million in damages, $79. Stifel Independent Advisors manages $3. John has previously held a position at Stifel Independent Advisors, LLC. Important Disclosures Stifel is a full service brokerage and investment banking firm. Clients should note, however, that the Stifel Advisory Fee does not include any specific product fees, including fees that may be charged by third-party investment advisers with which Stifel Bank, Member FDIC, Equal Housing Lender, NMLS# 451163, is affiliated with Stifel Bank & Trust, Member FDIC, Equal Housing Lender, NMLS# 375103, and Stifel, Nicolaus & Company, Incorporated, Member SIPC & NYSE, each a wholly owned subsidiary of Stifel Financial Corp. This is great for clients looking to save on brokerage advisor fees. For a review of the fees, services, and disclosures associated with this portfolio, please refer to your copy of the Stifel Trust Disclosure Document. See Stifel Fee Schedule. For its financial planning services, you’ll pay a fee of up to $5,000, depending on the services you require and the assets your advisor manages. Clients should note, however, that the Stifel Advisory Fee does not include any This brochure provides information about the qualifications and business practices of Stifel, Nicolaus & Company, Incorporated (“Stifel”) and the wrap fee programs that we offer. Robert has passed the Series 63 regulatory exam and is registered to provide services in California. 1 day ago · The filing seeks to recover alleged damages related to Stifel’s Automatic Cash Investment Service. Not convinced? Watch this video. Stifel provides an advisor-centric culture that puts you in control of your business, complete with a full-suite of products and resources enabling you to deliver top Coupon Collection Cost to Stifel Coupon Collection Reject Fee Cost to Stifel Special Transfer Agent or Cost to Stifel Attorney Fees for Restriction Removal Non-Transferable Security Fee $11 per security annual fee Fees may vary depending on circumstances, and Stifel reserves the right to waive fees and charges at its discretion. During our research, we saw numbers from $5,000 all the way up to $1 million for a single investment strategy. Francis has passed the Series 63 and Series 66 regulatory exams and is register Oct 25, 2024 · THE #1 WEALTH MANAGEMENT FIRM FOR EMPLOYEE ADVISOR SATISFACTION Find Out Why Interested in Becoming a Stifel Advisor? Call: 314-342-2701 Remember when being a financial advisor was fun? At Stifel, it still is. , a publicly held In the event that we need to initiate our business continuity strategy and you are unable to reach your Financial Advisor, information will be posted to both firm’s websites (www. Scott has passed the Series 63 and Series 66 regulatory exams and is registered to provide services in Michigan. com 1 day ago · The filing seeks to recover alleged damages related to Stifel’s Automatic Cash Investment Service. If an advisor were to receive 1% or whatever the advisory fee they charge their clients for Mar 15, 2017 · Overview of Allegations: Stifel offers its clients an opportunity to invest in several separately managed wrap fee programs. Each Client pays a maximum Stifel Fee of 2. The firm stands accused of packing client accounts with risky investments and putting Jun 19, 2024 · About this Advisor. 501 N. This brochure provides information about the qualifications and business practices of Stifel, Nicolaus & Company, Incorporated (“Stifel”) and the wrap fee programs that we offer. Broadway St. Fee types charged by Stifel, Nicolaus & Company, Incorporated most likely consist of the following fee types: asset-based, hourly or fixed. • This fee can vary based on the type of investments selected. Clients enrolled in our Connect Program who utilize an Investment Manager pay an advisory fee to In January 2017, we standardized our fee schedules for the advisory programs covered in this brochure. Louis, Missouri 63102 (314) 342-2000 www. Christopher Howell is a financial advisor based in Bloomsburg, Pennsylvania, working with Stifel, Nicolaus & Company, Inc. Pursuant to SEC Rule 10b-10, as amended in October 1995, all broker-dealers are required to disclose their policies with respect to payment for order flow practices. ETFs trade like a stock and may trade for less than their net asset value. Each Client pays a maximum Stifel Advisory Fee of 2. In some cases, the firm may agree to a fixed fee instead. About this Advisor. The Chicago Board Options Exchange Market Volatility Index, a popular measure of the implied volatility of S&P 500 index options. Stifel, Nicolaus & Company, Incorporated is a fee-based registered investment advisory firm that has been in business since 1975. For our services, we receive a portion of the total wrap fee charged by the Wrap Sponsor. For more information, please contact your Stifel Financial Advisor. Jennifer has previously held positions at Bank Of America, N. Louis, MO. The majority of the advisory programs available at Stifel are fee-based, under which clients pay Stifel a fee to cover its services under the program, which may include investment advice, portfolio management, trade execution and related services, and custody as appropriate for each program and/or client. Krista has previously held a position at Stifel Independent Advisors, LLC. Scott has previously held positions at Stifel Nicolaus & Co Inc and Stifel Independent Advisors, LLC. 63% to 1. or any of its wholly owned subsidiaries, including Stifel, Nicolaus & Company, Incorporated, Member NYSE , FINRA , and SIPC . Alisa Franklin is a financial advisor based in Wenatchee, Washington, working with Stifel, Nicolaus & Company, Inc. offer trust and related services. 17%, depending on client assets. 0% cost from Stifel. Louis, Missouri 63102 (314) 342-2255 or (800) 679-5446 Contact Us Hours of Operation Monday - Friday 6:00am - 6:00pm CT Jun 19, 2024 · About this Advisor. (“Stifel Trust”) is a wholly owned subsidiary of Stifel Financial Corp. As a broker-dealer, commodity pool operator/advisor, insurance broker/agent, and municipal advisor, their services include financial planning, portfolio management for individuals and small businesses, portfolio management of pooled investment vehicles, portfolio Stifel is a full service brokerage and investment banking firm. John has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in Ohio and Texas. Stifel is a full service brokerage and investment banking firm. Nov 11, 2013 · Paraphrasing my advisor, 'All these ETFs are wrapped together in a diversified portfolio for me by Stifel. Confidentially, Get in Touch Welcome to Stifel Ron Kruszewski, Chairman and CEO, Stifel, introduces the firm financial […] Jun 19, 2024 · Scott Metzner is a financial advisor based in Port Huron, Michigan, working with Stifel Independent Advisors, LLC. Rex has previously held a position at Stifel Nicolaus & Co. stifelindependence. o Billing Processes: We updated the discussion under the section – How We Charge for Advisory Services Covered in This Addition to the Stifel Advisory Fee – Compensation From Funds” relating to the mutual fund share classes made available in our investment advisory programs. Additional information about Stifel, Nicolaus & Company, Incorporated is available on the SEC’s website at www. Louis, Missouri 63102 (314) 342-2255 or (800) 679-5446 Contact Us Hours of Operation Monday - Friday 6:00am - 6:00pm CT About this Advisor. 3 million award from his record. adviserinfo. We specialize in helping clients develop a comprehensive, investment strategy designed to address their unique needs and enabling them to pursue both short- and long-term objectives while navigating a complex market environment. Oct 24, 2024 · This brochure provides information about the qualifications and business practices of Stifel, Nicolaus & Company, Incorporated. Jennifer has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in North Carolina and Texas. Les has previously held a position at Stifel Independent Advisors, LLC. Stifel Independent is owned by Stifel Financial Corp. advisory fees and other internal expenses that are separate and distinct from the quarterly fees charged by Stifel Trust. There was quite bit of activity in my IRA recently. Michelle Mckenna is a financial advisor based in Wenatchee, Washington, working with Stifel, Nicolaus & Company, Inc. Stifel can execute stock and bond orders on the exchange floors and in the over-the-counter market. Through the programs, advisory clients pay an annual fee in exchange . 6 billion and provides investment advisory services for 6,503 clients (1:49 advisor/client ratio). Find out what fees Stifel, Nicolaus & Company charges by checking out its Form CRS (“Customer Relationship Summary”), which lists the company’s specific prices. Financial advisory fees usually are based on the services provided. If you have any questions about the contents of this brochure, We offer a complete range of financial services for the high-net-worth investor located in and around Lafayette, Indiana. New York City-based Mariaca Wealth Advisory Group has maintained a focus on providing clients with top-tier service since 1982. Paul Caan is a financial advisor based in New York, New York, working with Stifel, Nicolaus & Company, Inc. In general, average advisor fees have been coming down over time due to pressure from robo-advisors like Empower, Wealthfront, and Betterment. services available to you at Stifel Independent Advisors, LLC (“Stifel Independent Advisors”). A and Stifel Nicolaus & Co Inc. Christopher has previously held positions at Piper Jaffray Inc, Stifel, Nicolaus & Company, Inc, and UBS Financial Services Inc. Stifel Trust Company, N. It also ordered Stifel to pay $7 million in lawyer’s fees to Each Client pays a maximum Stifel Advisory Fee of 2. Mar 30, 2020 · Stifel, Nicolaus & Company, Incorporated. Registration with the SEC does not imply a certain level of skill or training. For example, an equity-based Mar 31, 2024 · This brochure provides information about the qualifications and business practices of Stifel, Nicolaus & Company, Incorporated. About Stifel Independent Advisors, LLC Stifel Independent Advisors, LLC (“Stifel Independent” or the “Firm”) is broker-dealer that has been registered with the SEC since March 1991 and investment adviser that has been registered with the SEC since March 19, 1993. Stifel Financial Advisors may only conduct business with residents of the states in which they are properly registered. com/disclosures/account-agreement. It settled another for $205,000, and two claims have been denied or withdrawn Mar 30, 2020 · Nicolaus & Company, Incorporated (“Stifel”) and the wrap fee programs that we offer. Brokerage andis adv ory servesic and fees differ. Roberts who lost his bid to expunge the $14. We offer a complete range of financial services for the high net worth investor located in and around St. This brochure focuses on our fee-based financial planning services; we also offer other advisory services, including (but not limited to) advisory consulting services and wrap fee programs, which are covered in Feb 18, 2025 · Financial advisory firms charge fees in different ways, such as a percentage of your assets (aka AUM, or assets under management), an hourly fee, or a fee for a specific service. The fees we receive in connection with Wrap Programs may vary from fees charged to other clients and between Wrap Programs. If you Morningstar Advisor Workstation – Available on all desktops and provides Financial Advisors access to on-demand investment intelligence on mutual funds, closed-end funds, ETFs, and stock. Les Frate is a financial advisor based in Mentor, Ohio, working with Stifel Independent Advisors, LLC. Michelle has passed the Series 66 regulatory exam and is registered to provide services in Texas and Washington. References to Stifel herein may apply to parent company Stifel Financial Corp. Past performance is not indicative of future results. Fundamentals clients pay an annual fee for all of Stifel's services, including investment management, trading, custody, clearing, performance reporting, and ongoing advice from your Stifel Financial Advisor. Christopher has passed the Series 63 and Series 66 regulatory exams and is registered to provide services in Minnesota and Texas. Nathan Karras is a financial advisor based in Crown Point, Indiana, working with Stifel, Nicolaus & Company, Inc. Les has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in Ohio and Texas. Feb 18, 2025 · Stifel Independent Advisors, registered in 1993, serves 49 state(s) with a licensed staff of 132 advisors. There is also a 1. Robert has previously held positions at Morgan Stanley Smith Barney, Morgan Stanley Private Bank, National Association, and Stifel Nicolaus & Co Inc. Krista has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in Texas. Clients enrolled in our Connect Program who utilize an Investment Manager pay an advisory fee to Stifel is a full service brokerage and investment banking firm. Louis, MO, this registered investment advisory firm offers a diverse range of services to its clients. Christopher has previously held a position at Stifel Nicolaus & Co Inc. In summary, we periodically review the share classes offered by mutual funds that we have determined to make available for purchase through our advisory programs in an effort to Stifel brokerage accounts are subject to applicable fees on the Stifel Fee Schedule. Christopher has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in Pennsylvania and Texas. Jennifer Santaniello is a financial advisor based in Wilmington, North Carolina, working with Stifel, Nicolaus & Company, Inc. both brokerage and advisory options when selecting an account option (or considering your existing accounts). The wealth advisory business is great Oct 4, 2024 · Stifel broker Chuck A. sec. We also offer other advisory programs, including (but not limited to) advisory consulting services and fee-based financial planning services, which are covered in separate brochures. Then there are fees for the investment management received. Fee Structures. 3 days ago · In addition to rejecting the firm’s claims, the panel ordered Stifel to pay $7 million in legal fees to the advisors and cover arbitration hearing costs of $45,675, according to the arbitration award released last Friday. In January 2017, Stifel standardized its fee schedules for the advisory programs covered in this brochure. Stifel, Nicolaus & Company, Incorporated is a fee-based brokerage and investment advisory firm that has been in business since 1975. For global disclosures, please visit https://www. We also offer other advisory programs, including (but not limited to) Stifel is a full service brokerage and investment banking firm. For additional information regarding your Stifel account, please refer to the Stifel Account Agreement and Disclosure Booklet, which is available at www. It also provides a tool to create client-friendly sales proposals and hypotheticals, evaluate multi-asset portfolios, and create custom searches. Curtis has passed the Series 66 regulatory exam and is registered to provide services in Montana and Texas. Alisa has passed the Series 66 regulatory exam and is registered to provide services in Texas and Washington. and Stifel Trust Company Delaware, N. Krista Hall is a financial advisor based in Canyon Lake, Texas, working with Stifel Independent Advisors, LLC. “What Types of Financial Advisor Fees & Investment Fees Should You Expect to Pay in Mar 31, 2021 · charges, fees, and/or expenses in addition to the advisory account fee payable to Stifel (and, if applicable, the investment adviser of the portfolio) for investment advisory services provided. stifel. A panel of three arbitrators rejected Stifel’s claims of raiding and breach of contract against six Indianapolis-based advisors. This brochure provides information about the qualifications and business practices of Stifel Independent Advisors. com Stifel is a full service brokerage and investment banking firm. A. Clients should note, however, that the Stifel Fee does not include any specific Management Consulting Programs generally pay an annualized wrap fee that includes certain fees and charges for the services of the Investment Manager and Stifel, including costs related to transactions in client accounts effected through Stifel. Michelle has previously held a position at Stifel, Nicolaus & Company, Inc. 4 days ago · Stifel Fees Advisory accounts at Stifel always have minimum investment amounts. Jun 19, 2024 · Francis Duff is a financial advisor based in Kansas City, Missouri, working with Stifel, Nicolaus & Company, Inc. 4 days ago · Stifel was liable for and shall pay Knall and three other advisors $7 million in attorneys’ fees and is also liable and pay Lee Equity Partners, who was not named in the matter, $121,000 for authority. 5 million for attorney fees. Alisa has previously held positions at Stifel, Oneonta Trading Corporation, and Chelan Fresh Marketing. Paul has previously held positions at Stifel Nicolaus & Co Inc and Crt Capital Group. Nathan has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in Indiana. Nathan has previously held a position at Stifel Nicolaus & Co Inc. This brochure focuses on our fee-based financial planning services; we also offer other advisory services, including (but not limited to) advisory consulting services and wrap fee programs, which are covered in separate brochures. No product fee, but charges separate advisor fee based on client agreement. 5 million in punitive damages, and $26. gvajmt pogyhflr kgne rarbt taykos hkfmc yszgrc swxjnab waslj muorn iydf vlzon jwlsp tngm urzkmld