John Carroll
John Carroll is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Saratoga Springs, NY, with 39 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
18 Division Street, Suite 209 & 211A, Saratoga Springs, NY, 12866
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Regulatory History
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.
Learn about disclosures →Other Business Activities
John is a member of the finance committee at Wolferts Roost Country Club, consulting on finances since September 2024. He also serves on the institutional advancement committee at The Albany Academies, advising on fundraising since December 2024; both activities require minimal time.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Linsco/private Ledger CORP.Broker
Liberty Securities CorporationBroker
Daniels & Bell, INC.Broker
Ashland Global Securities, INC.Broker
Mcginn, Smith & CO., INC.Broker
First Albany CorporationBroker
Shearson Lehman Brothers INC.Broker
State Registrations9 states
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