TrueAdvisor
TrueAdvisor
WJ
WJ

William Jolly

Stifel, Nicolaus & Company, Incorporated
43 Years of Experience
Hot Springs, AR
1 DisclosureBroker
View SEC Summary
View SEC Summary

William Jolly is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Hot Springs, AR, with 43 years of industry experience. William 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

3955 Central Avenue, Suite 6, Hot Springs, AR, 71913

Get directions

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
March 2007
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William is a board member of Hope and Purpose Ministry, a Christian ministry. He dedicates minimal time to this non-investment related activity.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
July 2019 - Present · 7 yrs 3 mos
Stifel, Nicolaus & Company, Incorporated
July 2019 - Present · 7 yrs 3 mos
Previous Registrations
Morgan Stanley
June 2009 - July 2019 · 10 yrs 1 mo
Morgan StanleyBroker
June 2009 - July 2019 · 10 yrs 1 mo
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
February 2007 - April 2007 · 2 mos
Morgan Stanley Dw INC.Broker
February 2007 - April 2007 · 2 mos
Merrill Lynch Pierce Fenner & Smith INC.
August 1985 - February 2007 · 21 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1985 - February 2007 · 21 yrs 6 mos
Dean Witter Reynolds INC.Broker
August 1983 - August 1985 · 2 yrs
State Registrations17 states
ALARCOFLGAILLAMONVNYOHOKSCTNTXWAWI
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.
More Advisors
More financial advisors in Hot Springs, AR →All financial advisors in Arkansas →