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Dale Johnson

Stifel, Nicolaus & Company, Incorporated
42 Years of Experience
Abilene, TX
1 DisclosureBroker
View SEC Summary
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Dale Johnson is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Abilene, TX, with 42 years of industry experience. Dale 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 Chestnut Street, Suite 1300, Abilene, TX, 79602

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History

Regulatory History (1)
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
October 2019
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Dale is a board member of the Abilene Philharmonic Association, dedicating minimal time to promoting the symphony and raising funds. Dale is also the president and 34% owner of Abilene Archives & Security Company, overseeing the business and signing tax returns, which requires minimal time annually.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
June 2020 - Present · 6 yrs 4 mos
Stifel, Nicolaus & Company, IncorporatedBroker
June 2020 - Present · 6 yrs 4 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - June 2020 · 11 yrs
Morgan Stanley
June 2009 - June 2020 · 11 yrs
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
March 2006 - April 2007 · 1 yr 1 mo
Morgan Stanley Dw INC.Broker
November 2005 - April 2007 · 1 yr 5 mos
RBC Dain Rauscher INC.Broker
November 1998 - November 2005 · 7 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1987 - December 1998 · 11 yrs 3 mos
Protective Equity Services, INC.Broker
June 1987 - January 1989 · 1 yr 7 mos
Protective Equity Services, INC.Broker
January 1986 - December 1986 · 11 mos
Schneider, Bernet & Hickman, INC.Broker
April 1982 - November 1984 · 2 yrs 7 mos
State Registrations35 states
ALARAZCACODCFLGAILINKSLAMAMIMNMOMSNCNDNENHNJNMNVNYOKORPRRISCSDTNTXUTWA
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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