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John Lynch

Stifel, Nicolaus & Company, Incorporated
41 Years of Experience
Little Rock, AR
2 DisclosuresBroker
View SEC Summary
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John Lynch is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Little Rock, AR, with 41 years of industry experience. John 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
3352 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

11300 Cantrell Road, Suite 101, Little Rock, AR, 72212

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History

Regulatory History (2)
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
October 2013
Settled
Customer Dispute
March 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is a partner in LS Group, LLC, a personal business focused on finding business opportunities, primarily in real estate such as storage facilities, since 2016. He dedicates minimal time to this activity.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
July 2015 - Present · 11 yrs 3 mos
Stifel, Nicolaus & Company, IncorporatedBroker
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Sterne Agee Asset Management, INC.
March 2005 - July 2015 · 10 yrs 4 mos
Sterne Agee & Leach, INC. Capital Management
January 2004 - December 2005 · 1 yr 11 mos
Sterne, Agee & Leach, INC.Broker
March 1998 - July 2015 · 17 yrs 4 mos
Stephens INC.Broker
May 1986 - April 1998 · 11 yrs 11 mos
Swink & Company, INC.Broker
April 1985 - May 1986 · 1 yr 1 mo
State Registrations14 states
ARAZCAFLINKSMIMNMTTXUTVTWAWI
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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