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Paul Dietz

Stifel, Nicolaus & Company, Incorporated
39 Years of Experience
Indianapolis, IN
3 DisclosuresBroker
View SEC Summary
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Paul Dietz is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Indianapolis, IN, with 39 years of industry experience. Paul 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

600 E. 96th Street, Indianapolis, IN, 46240

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History

Regulatory History (3)
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
September 2007
Customer Dispute
June 2003
Settled
Customer Dispute
August 2000
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
February 2017 - Present · 9 yrs 8 mos
Stifel, Nicolaus & Company, IncorporatedBroker
February 2017 - Present · 9 yrs 8 mos
Stifel, Nicolaus & Company, Incorporated
February 2017 - Present · 9 yrs 8 mos
Previous Registrations
City Securities Corporation
September 2007 - February 2017 · 9 yrs 5 mos
City Securities CorporationBroker
September 2007 - February 2017 · 9 yrs 5 mos
Fifth Third Securities, INC.
November 2004 - September 2007 · 2 yrs 10 mos
Fifth Third Securities, INC.Broker
July 2003 - September 2007 · 4 yrs 2 mos
Natcity Investments, INC.
September 2002 - July 2003 · 10 mos
Natcity Insurance Services, INC.Broker
January 1999 - December 2001 · 2 yrs 11 mos
Liberty Securities CorporationBroker
August 1998 - January 1999 · 5 mos
Natcity Investments, INC.Broker
June 1996 - July 2003 · 7 yrs 1 mo
Independent Financial Securities, INC.Broker
May 1994 - August 1998 · 4 yrs 3 mos
National City Investments CorporationBroker
May 1992 - June 1996 · 4 yrs 1 mo
Merchants Securities CompanyBroker
April 1988 - December 1993 · 5 yrs 8 mos
Mark Twain Brokerage Services, INC.Broker
May 1986 - June 1987 · 1 yr 1 mo
State Registrations14 states
AZCAFLGAILINKSMIMNNCNYUTVAWI
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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