Floyd Carl
Floyd Carl is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Yardley, PA, 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
790 Township Line Road, Suite 175, Yardley, PA, 19067
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2002Other Business Activities
Floyd is involved with numerous non-profit and charitable organizations, including the Leulemis & Lymphoma Society, Knights of Columbus, Advancing Opportunities of NJ, Philadelphia Friends of V, Penn State University Libraries, 1200 For Life, and Legatus. He also serves on the finance council for his church and manages a rental property, dedicating minimal time to each activity.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Bainbridge Securities INC.Broker
First Union Securities, INC.Broker
First Union Capital Markets CORP.Broker
Fahnestock & CO., INC.Broker
W.H. Newbold's Son & CO., INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations25 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.