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Norman Nicolson

Stifel, Nicolaus & Company, Incorporated
40 Years of Experience
Mobile, AL
1 DisclosureBroker
View SEC Summary
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Norman Nicolson is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Mobile, AL, with 40 years of industry experience. Norman 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 (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
November 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Norman is a minority owner of Nicolson Family Property in Chapman, AL, since 1982. This activity is investment-related and requires minimal time.

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
Stifel, Nicolaus & Company, Incorporated
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Sterne Agee Asset Management, INC.
October 2009 - July 2015 · 5 yrs 9 mos
Sterne, Agee & Leach, INC.Broker
August 1990 - July 2015 · 24 yrs 11 mos
The Robinson-Humphrey Company INC.Broker
December 1985 - August 1990 · 4 yrs 8 mos
State Registrations16 states
AKALCACTDCFLGALAMAMDMOMSNCNMTNTX
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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