Diane Rothberg
Diane Rothberg is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Morristown, NJ, with 34 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
305 Madison Avenue, Morristown, NJ, 07960
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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 →Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Stifel, Nicolaus & Company, IncorporatedBroker
Ryan Beck & CO.Broker
Gruntal & CO., L.L.C.Broker
Salomon Brothers INC.Broker
Smith Barney INC.Broker
William Blair & Company L.L.C.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Shearson Lehman Brothers INC.Broker
State Registrations14 states
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