Stifel

Financial Advisor in San Luis Obispo, CA

Firm Info
Address: 4460 Broad St Suite 210, San Luis Obispo, CA 93401, USA
Phone: (805) 783-2921

Firm Size
Assets Under Management: $149 billion
# of Advisors: 2,992
# of Clients: 316,625
Client to Advisor Ratio: 106:1
Average Account Size: $470,588
# of Offices: 1

Services Offered
  • Financial Planning
  • Portfolio Management for Individuals & Small Businesses
  • Portfolio Management of Pooled Investment Vehicles
  • Portfolio Management for Businesses or Institutional Clients
  • Pension Consulting Services
  • Selection of Others Advisors
  • Educational Seminars & Workshops

Types of Clients
  • Individuals (Not High Net Worth)
  • Individuals High Net Worth

    *>=750k in Investable Assets or >=1.5m of Estimated Total Net Worth

  • Banking Institutions
  • Pooled Investment Vehicles
  • Pension & Profit Sharing Plans
  • Charitable Organizations
  • State & Municipal Govt Entities
  • Insurance Companies
  • Corporations or Other Businesses Not Listed Above
  • Other

Available Fee Structures
  • Percentage of Assets Under Management (AUM)
  • Fixed Fees (Other than subscription)
  • Commissions

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Stifel, Nicolaus & Company, Incorporated Overview

STIFEL, NICOLAUS & COMPANY, INCORPORATED is a fee-based investment advisory firm that has been in operation since 1975. With headquarters located in St. Louis, Missouri, this firm operates as both a broker-dealer and a commodity pool operator and advisor. Additionally, it offers insurance brokerage and municipal advisory services to its clients. The firm provides a comprehensive range of investment advisory services, including financial planning and portfolio management for individuals and small businesses. It also offers portfolio management for businesses and institutional clients, as well as pension consulting services. STIFEL, NICOLAUS & COMPANY, INCORPORATED also offers the selection of other advisors to suit client’s unique needs, alongside educational seminars and workshops. With a vast range of services and a long-standing reputation in investment advisory services, STIFEL, NICOLAUS & COMPANY, INCORPORATED is an excellent choice for clients looking for comprehensive investment advice and solutions.

STIFEL, NICOLAUS & COMPANY, INCORPORATED is known to cater to a diverse range of clients across various industries. The firm offers its services to individuals, high net worth individuals, banking institutions, pooled investment vehicles, pension or profit sharing plans, charitable organizations, state or municipal government entities, insurance companies, and other unlisted corporation types. Additionally, the firm caters to other types of clients, ensuring each client's unique requirements are catered to with utmost diligence. The fee structures offered by STIFEL, NICOLAUS & COMPANY, INCORPORATED varies depending upon the nature of the services rendered. The firm offers various options such as a percentage of assets under management (AUM), fixed fees, and commissions. The percentage of AUM fee structure calculates fees based on a percentage of the funds under management, providing an incentive for the firm to grow the client's portfolio. Fixed fees remain consistent despite portfolio performance or management mode, providing certainty on the total cost of services. Commission-based fees generate revenue from buy and sell transactions, where the clients pay a commission based on these transactions. STIFEL, NICOLAUS & COMPANY, INCORPORATED caters to all fee structures to offer flexibility to its clients and encourage optimization of financial performance.

Typical Clients, Fee Structures & Investment Minimum

According to STIFEL, NICOLAUS & COMPANY, INCORPORATED's Part 2 Brochure, there is no mention of an investment minimum requirement. Therefore, it can be assumed that this firm does not have an investment minimum for their clients.

How This Office Can Help San Luis Obispo, CA Residents

Stifel is a full-service investment banking firm that prides itself on providing customized solutions to meet the unique financial needs of clients in San Luis Obispo, CA. Whether someone is just starting to save for retirement or needs to develop a comprehensive wealth management strategy, Stifel has the expertise and resources to help. Residents of San Luis Obispo may face a variety of financial situations, including managing debt, saving for college, planning for retirement, and investing in real estate. Stifel can provide guidance and support in all of these areas, as well as in estate planning and risk management. The firm's financial advisors work closely with clients to understand their individual goals, risk tolerance, and financial situation, and then develop a tailored plan to help them achieve success. With Stifel's expertise and personalized approach, individuals in San Luis Obispo can rest assured they are on the right path towards financial security.

To view the Minimum Investment and Fee Schedule for Stifel, Nicolaus & Company, Incorporated, visit their Part 2 Brochure.

Services Offered by Stifel, Nicolaus & Company, Incorporated

Core Advisor Services
Financial Planning

Financial planning services encompass the process of devising strategies for your future financial well-being, including preparing for events such as retirement, funding your child's college education, or planning for the transfer of assets.

Portfolio Management for Individuals & Small Businesses

Portfolio management entails the careful selection and strategic management of investment combinations tailored to meet the needs of individuals and small businesses.

Market Timing Services

Market timing services involve the endeavor to generate short-term profits from investments by capitalizing on opportunities to buy at low prices and sell at high prices.

Other Services
Selection of Other Advisors

The firm provides support in selecting and engaging other advisors who possess specialized expertise to complement your financial needs.

Publication of Periodicals or Newsletters

The firm engages in the dissemination of diverse financial educational materials through the publication of periodicals.

Educational Seminars & Workshops

The firm organizes and conducts seminars or workshops aimed at enlightening investors on various financial concepts.


Fee Structures

Financial advisory fees usually are based on the services provided. Fee types charged by Stifel, Nicolaus & Company, Incorporated most likely consist of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.

Available
Percentage of Assets Under Management (AUM)
Fixed Fees (Other than subscription)
Commissions
Unavailable
Hourly
Subscription (Newsletter or Periodical)
Performance-based Fees
Other

Types of Clients

*The Securities & Exchange Commission defines someone as “high net worth” if they have $750,000 or more in investable assets or $1.5M of estimated total net worth.


This Office Location

Firm location 4460 Broad St Suite 210, San Luis Obispo, CA 93401, USA
Phone (805) 783-2921
Directions
Google My Business Reviews:
5 Stars

Other Office Locations

Firm Headquarters
Firm headquarters location 501 N BROADWAY, ST LOUIS, MO 63102, United States

This firm has no other locations.

State Registrations

Stifel, Nicolaus & Company, Incorporated is registered to service clients in the following states:

  • Alabama
  • Alaska
  • Arizona
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • District of Columbia
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Ohio
  • Oklahoma
  • Oregon
  • Pennsylvania
  • Puerto Rico
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Virgin Islands

Disciplinary History

Stifel, Nicolaus & Company, Incorporated does not have any disclosures. Please visit it's Form ADV for more details.

FREQUENTLY ASKED QUESTIONS

Fiduciary Financial Advisor FAQs