TrueAdvisor
TrueAdvisor
GB
GB

Gary Brochin

Stifel, Nicolaus & Company, Incorporated
41 Years of Experience
Atlanta, GA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Gary Brochin is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Atlanta, GA, with 41 years of industry experience. Gary 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

3630 Peachtree Road NE, 4th Floor, Atlanta, GA, 30326

Get directions

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.
Employment Separation After Allegations
May 2006
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
June 2016 - Present · 10 yrs 4 mos
Stifel, Nicolaus & Company, IncorporatedBroker
May 2016 - Present · 10 yrs 5 mos
Previous Registrations
Wunderlich Securities, INC.
February 2015 - June 2016 · 1 yr 4 mos
Wunderlich Securities, INC.Broker
January 2015 - June 2016 · 1 yr 5 mos
Dominick & Dominick LLC
June 2006 - January 2015 · 8 yrs 7 mos
Dominick & Dominick LLCBroker
May 2006 - January 2015 · 8 yrs 8 mos
Suntrust Investment Services, INC.
June 2005 - June 2006 · 1 yr
Suntrust Investment Services, INC.Broker
June 2005 - June 2006 · 1 yr
Suntrust Capital Markets, INC.
November 2002 - July 2005 · 2 yrs 8 mos
Suntrust Capital Markets, INC.Broker
November 2002 - June 2005 · 2 yrs 7 mos
Donaldson Lufkin & Jenrette Securities Corporation
July 2002 - November 2002 · 4 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
April 1994 - November 2002 · 8 yrs 7 mos
Lehman Brothers INC.Broker
May 1992 - May 1994 · 2 yrs
Kidder, Peabody & CO. IncorporatedBroker
May 1989 - June 1992 · 3 yrs 1 mo
Drexel Burnham Lambert IncorporatedBroker
August 1985 - June 1989 · 3 yrs 10 mos
State Registrations19 states
ALCACTDCFLGAILMDMINCNJNYOHPARISCTNTXVA
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.
More Advisors
More financial advisors in Atlanta, GA →All financial advisors in Georgia →