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Tamie Austin

Stifel, Nicolaus & Company, Incorporated
41 Years of Experience
Westlake Village, CA
1 DisclosureBroker
View SEC Summary
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Tamie Austin is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Westlake Village, CA, with 41 years of industry experience. Tamie 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

3075 Townsgate Road, Suite 300, Westlake Village, CA, 91361

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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
February 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tamie owns a rental property in Ketchum, ID, which is managed by a property manager. She spends minimal time on this investment-related activity.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
November 2012 - Present · 13 yrs 11 mos
Stifel, Nicolaus & Company, Incorporated
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - November 2012 · 3 yrs 5 mos
Morgan Stanley
June 2009 - November 2012 · 3 yrs 5 mos
Citigroup Global Markets INC.
October 2002 - June 2009 · 6 yrs 8 mos
Citigroup Global Markets INC.Broker
October 2002 - June 2009 · 6 yrs 8 mos
Salomon Smith Barney INC.Broker
December 2001 - December 2001 · 0 mos
Morgan Stanley
February 1992 - October 2002 · 10 yrs 8 mos
Morgan Stanley Dw INC.Broker
April 1985 - October 2002 · 17 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1984 - October 1985 · 11 mos
State Registrations19 states
ALAZCACOFLIDINMDMNMONCNENVOKORPATXUTWA
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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