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Joseph Ringhoffer

Stifel, Nicolaus & Company, Incorporated
35 Years of Experience
Mobile, AL
2 DisclosuresBroker
View SEC Summary
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Joseph Ringhoffer is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Mobile, AL, with 35 years of industry experience. Joseph 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

3600 Springhill Business Park, Suite 1000, Mobile, AL, 36608

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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
December 2020
Closed-No Action
Employment Separation After Allegations
February 2006
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph serves as an executor for a non-family member. He is also the President of Ringhoffer Family LLC, which holds family-owned land, and he dedicates minimal time to oversight and check writing.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
July 2015 - Present · 11 yrs 3 mos
Stifel, Nicolaus & Company, Incorporated
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Sterne Agee Asset Management, INC.
February 2006 - July 2015 · 9 yrs 5 mos
Sterne, Agee & Leach, INC.Broker
February 2006 - July 2015 · 9 yrs 5 mos
Wachovia Securities, LLCBroker
July 2003 - February 2006 · 2 yrs 7 mos
Wachovia Securities, LLC
July 2003 - February 2006 · 2 yrs 7 mos
Prudential Securities Incorporated
July 1999 - July 2003 · 4 yrs
Prudential Securities IncorporatedBroker
June 1999 - July 2003 · 4 yrs 1 mo
Morgan Keegan & Company, INC.Broker
August 1991 - June 1999 · 7 yrs 10 mos
State Registrations8 states
ALFLLANMTNTXVAWA
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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