Thomas Cotrone
Thomas Cotrone is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Oklahoma City, OK, with 39 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
6301 Waterford Boulevard, Oklahoma City, OK, 73118
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2018Customer Dispute
January 2009Customer Dispute
December 2001Other Business Activities
Thomas works as an arbitrator in Washington, DC, dedicating minimal time to this role. This activity is investment-related.
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
UBS Painewebber INC.
UBS Painewebber INC.Broker
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Heritage-Park Securities, LTD.Broker
State Registrations27 states
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.