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Patrick Sinclair

Stifel, Nicolaus & Company, Incorporated
45 Years of Experience
Walnut Creek, CA
2 DisclosuresBroker
View SEC Summary
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Patrick Sinclair is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Walnut Creek, CA, with 45 years of industry experience. Patrick 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

500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA, 94596

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History

Regulatory History (2)
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
March 2005
Settled
Customer Dispute
September 1986
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
February 2009 - Present · 17 yrs 8 mos
Stifel, Nicolaus & Company, Incorporated
February 2009 - Present · 17 yrs 8 mos
Stifel, Nicolaus & Company, Incorporated
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
RBC Capital Markets Corporation
May 2002 - March 2009 · 6 yrs 10 mos
RBC Capital Markets CorporationBroker
March 2002 - March 2009 · 7 yrs
Sutro & CO. IncorporatedBroker
May 1999 - March 2002 · 2 yrs 10 mos
Prudential Securities IncorporatedBroker
October 1986 - May 1999 · 12 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1981 - October 1986 · 5 yrs 2 mos
State Registrations21 states
ARAZCACOFLHIIDILKSLAMTNCNVNYORPARISCTXVAWA
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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