Kenneth Klauber
Kenneth Klauber is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Carlsbad, CA, with 43 years of industry experience. Kenneth 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
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
Location
5780 Fleet Street, Suite 250, Carlsbad, CA, 92008
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Regulatory History (1)
Customer Dispute
August 2002Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Wachovia Securities, LLCBroker
Wachovia Securities, LLC
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Crowell, Weedon & CO.Broker
Thomson Mckinnon Securities INC.Broker
Rauscher Pierce Refsnes, INC.Broker
State Registrations32 states
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
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