RP
RP

Randall Powers

37 Years of Experience
Greensboro, GA
2 DisclosuresBroker

Randall Powers is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Greensboro, GA, with 37 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3365 advisors
Number of Clients
222,322 clients
Average Client Portfolio
$770K average
Assets Under Management
$171.2B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)

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.

Loading...

Location

Greensboro, GA

Get directions

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
September 2000
Closed-No Action
Criminal
April 1983
Final Disposition
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
October 2016 - Present · 9 yrs 7 mos
Stifel, Nicolaus & Company, Incorporated
October 2016 - Present · 9 yrs 7 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - October 2016 · 7 yrs 4 mos
Morgan Stanley
June 2009 - October 2016 · 7 yrs 4 mos
Morgan Stanley & CO. Incorporated
August 2008 - June 2009 · 10 mos
Morgan Stanley & CO. IncorporatedBroker
May 2007 - June 2009 · 2 yrs 1 mo
A. G. Edwards & Sons, INC.Broker
February 1994 - May 2007 · 13 yrs 3 mos
MML Investors Services, INC.Broker
June 1988 - March 1994 · 5 yrs 9 mos
State Registrations29 states
ALARAZCACOCTDCDEFLGAILLAMAMDMIMONCNENJNYOHORPASCTXUTVAWAWV
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.