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CFP
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CFP

Thomas Giordano

Stifel, Nicolaus & Company, Incorporated
43 Years of Experience
Houston, TX
Broker
View SEC Summary
View SEC Summary

Thomas Giordano is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Houston, TX, with 43 years of industry experience. Thomas 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

Four Chasewood, 20329 State Highway 249, Suite 150, Houston, TX, 77070

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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

Thomas owns three vacation condos in Galveston, Texas, since 2017. He dedicates minimal time to this investment-related activity.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
April 2009 - Present · 17 yrs 6 mos
Stifel, Nicolaus & Company, Incorporated
April 2009 - Present · 17 yrs 6 mos
Stifel, Nicolaus & Company, Incorporated
April 2009 - Present · 17 yrs 6 mos
Previous Registrations
Wachovia Securities, LLC
January 2008 - April 2009 · 1 yr 3 mos
Wachovia Securities, LLCBroker
January 2008 - April 2009 · 1 yr 3 mos
A. G. Edwards & Sons, INC.
November 2002 - January 2008 · 5 yrs 2 mos
A. G. Edwards & Sons, INC.Broker
March 1990 - January 2008 · 17 yrs 10 mos
Robert Thomas Securities, INCBroker
January 1988 - February 1990 · 2 yrs 1 mo
Raymond James & Associates, INC.Broker
August 1987 - December 1987 · 4 mos
Buchanan & CO., INC.Broker
July 1983 - August 1987 · 4 yrs 1 mo
State Registrations14 states
AZCACOFLGAIAMIMSNCOKORTXVAWA
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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