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Manuel Lozano

Stifel, Nicolaus & Company, Incorporated
45 Years of Experience
Pasadena, CA
10 DisclosuresBroker
View SEC Summary
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Manuel Lozano is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Pasadena, CA, with 45 years of industry experience. Manuel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Gateway Plaza, 300 North Lake Avenue, Suite 900, Pasadena, CA, 91101

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History

Regulatory History (10)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2026
Denied
Customer Dispute
March 2018
Settled
Customer Dispute
September 2017
Settled
Customer Dispute
August 2017
Denied
Customer Dispute
July 2015
Denied
Customer Dispute
October 2010
Settled
Customer Dispute
July 2010
Denied
Customer Dispute
October 2002
Settled
Customer Dispute
January 1987
Settled
Customer Dispute
October 1986
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Manuel is a part owner of the Hayes Apartment Building and involved in apartment rentals since 1983. He dedicates minimal time to this investment-related activity.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
October 2007 - Present · 19 yrs
Stifel, Nicolaus & Company, IncorporatedBroker
October 2007 - Present · 19 yrs
Previous Registrations
A. G. Edwards & Sons, INC.
July 1997 - October 2007 · 10 yrs 3 mos
A. G. Edwards & Sons, INC.Broker
June 1990 - October 2007 · 17 yrs 4 mos
Dean Witter Reynolds INC.Broker
September 1981 - June 1990 · 8 yrs 9 mos
State Registrations15 states
AKALCACOHIIDKSLAMENVOKORRITXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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