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Malcolm Frost

Stifel, Nicolaus & Company, Incorporated
41 Years of Experience
Zionsville, IN
1 DisclosureBroker
View SEC Summary
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Malcolm Frost is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Zionsville, IN, with 41 years of industry experience. Malcolm 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

1620 W. Oak Street, Suite 101, Zionsville, IN, 46077

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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
February 1991
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Malcolm serves as an executor for a non-family estate. This activity is not investment-related.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
February 2017 - Present · 9 yrs 8 mos
Stifel, Nicolaus & Company, Incorporated
February 2017 - Present · 9 yrs 8 mos
Previous Registrations
City Securities Corporation
February 2006 - February 2017 · 11 yrs
City Securities CorporationBroker
February 2003 - February 2017 · 14 yrs
Natcity Investments, INC.
February 2000 - February 2003 · 3 yrs
Natcity Insurance Services, INC.Broker
January 2000 - December 2001 · 1 yr 11 mos
Natcity Investments, INC.Broker
July 1995 - February 2003 · 7 yrs 7 mos
Raffensperger, Hughes & CO., INC.Broker
December 1987 - July 1995 · 7 yrs 7 mos
Shearson Lehman Brothers INC.Broker
January 1986 - December 1987 · 1 yr 11 mos
E. F. Hutton & Company INCBroker
October 1984 - January 1986 · 1 yr 3 mos
State Registrations19 states
ARAZCAFLINMAMDMOMTNCNEOHPATNTXUTVAWAWI
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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