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Timothy Metcalf

Stifel, Nicolaus & Company, Incorporated
42 Years of Experience
Newport Beach, CA
3 DisclosuresBroker
View SEC Summary
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Timothy Metcalf is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Newport Beach, CA, with 42 years of industry experience. Timothy 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

520 Newport Center Drive, Suite 1500, Newport Beach, CA, 92660

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History

Regulatory History (3)
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
July 1999
Award / Judgment
Customer Dispute
November 1997
Settled
Regulatory
February 1992
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Timothy owns multiple rental properties in California, dedicating minimal time to these ventures. He is also a grant committee member for the McBeth Foundation and a manager of TKRC Metcalf LLC, spending minimal time on each.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
January 2015 - Present · 11 yrs 9 mos
Stifel, Nicolaus & Company, Incorporated
January 2015 - Present · 11 yrs 9 mos
Previous Registrations
Wells Fargo Advisors, LLC
January 2008 - January 2015 · 7 yrs
Wells Fargo Advisors, LLCBroker
January 2008 - January 2015 · 7 yrs
A. G. Edwards & Sons, INC.
July 1997 - January 2008 · 10 yrs 6 mos
A. G. Edwards & Sons, INC.Broker
October 1990 - January 2008 · 17 yrs 3 mos
Prudential-Bache Securities INC.Broker
April 1988 - October 1990 · 2 yrs 6 mos
Drexel Burnham Lambert IncorporatedBroker
May 1986 - May 1988 · 2 yrs
Dean Witter Reynolds INC.Broker
October 1983 - June 1986 · 2 yrs 8 mos
State Registrations29 states
ARAZCACOCTFLGAHIIDILMAMONCNHNJNVNYOHOKORPAPRSCTNTXUTWAWIWV
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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