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Jeffrey Wells

Stifel, Nicolaus & Company, Incorporated
43 Years of Experience
San Rafael, CA
1 DisclosureBroker
View SEC Summary
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Jeffrey Wells is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in San Rafael, CA, with 43 years of industry experience. Jeffrey 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

1111 A Street, San Rafael, CA, 94901

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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
January 1998
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Jeffrey owns a historical guitar collection and maintains a website store, Austin-Marie Collection, selling related items. This activity takes a few hours per week and is not investment-related.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
February 2020 - Present · 6 yrs 8 mos
Stifel, Nicolaus & Company, IncorporatedBroker
February 2020 - Present · 6 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2012 - February 2020 · 7 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2012 - February 2020 · 7 yrs 4 mos
Morgan StanleyBroker
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley & CO. IncorporatedBroker
July 2007 - June 2009 · 1 yr 11 mos
Morgan Stanley & CO. Incorporated
July 2007 - June 2009 · 1 yr 11 mos
Citigroup Global Markets INC.Broker
November 2003 - July 2007 · 3 yrs 8 mos
Citigroup Global Markets INC.
November 2003 - July 2007 · 3 yrs 8 mos
Wachovia Securities, LLC
July 2003 - November 2003 · 4 mos
Wachovia Securities, LLCBroker
July 2003 - November 2003 · 4 mos
Prudential Securities Incorporated
January 2001 - July 2003 · 2 yrs 6 mos
Prudential Securities IncorporatedBroker
September 1999 - July 2003 · 3 yrs 10 mos
Piper Jaffray INC.Broker
September 1994 - October 1999 · 5 yrs 1 mo
Smith Barney INC.Broker
May 1989 - September 1994 · 5 yrs 4 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
February 1988 - May 1989 · 1 yr 3 mos
Wulff, Hansen & CO.Broker
July 1983 - February 1988 · 4 yrs 7 mos
State Registrations21 states
AZCACOCTIDILKYMIMTNHNJNVNYORPATXUTVAVTWAWI
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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