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CFP

Stephen Kally

Stifel, Nicolaus & Company, Incorporated
43 Years of Experience
Santa Barbara, CA
Broker
View SEC Summary
View SEC Summary

Stephen Kally is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Santa Barbara, CA, with 43 years of industry experience. Stephen 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

206 East Anapamu Street, Santa Barbara, CA, 93101

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Stephen and Carin Kally own property and Stephen's spouse manages it. Stephen spends minimal time on this activity.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
September 2012 - Present · 14 yrs 1 mo
Stifel, Nicolaus & Company, IncorporatedBroker
September 2012 - Present · 14 yrs 1 mo
Stifel, Nicolaus & Company, Incorporated
September 2012 - Present · 14 yrs 1 mo
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - September 2012 · 3 yrs 3 mos
Morgan Stanley Smith Barney LLC
June 2009 - September 2012 · 3 yrs 3 mos
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
January 1993 - July 1993 · 6 mos
Dean Witter Reynolds INC.Broker
May 1983 - January 1993 · 9 yrs 8 mos
State Registrations33 states
ALARAZCACOCTDCFLGAHIIDILKYMAMDMIMNMOMTNCNJNVNYOHORPATXUTVAVTWAWIWY
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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