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Thomas Bell

Stifel, Nicolaus & Company, Incorporated
38 Years of Experience
Baton Rouge, LA
1 DisclosureBroker
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Thomas Bell is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Baton Rouge, LA, with 38 years of industry experience. Thomas 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
—
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Location

Baton Rouge, LA

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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
February 2013
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas is the treasurer for Barons of Bacchus, an organization of past presidents, spending minimal time on it annually. He also serves as the President of the Chapter Advisory Board for Sigma Chi at LSU, dedicating minimal time to providing guidance and mentorship.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
July 2018 - Present · 8 yrs 3 mos
Stifel, Nicolaus & Company, Incorporated
July 2018 - Present · 8 yrs 3 mos
Stifel, Nicolaus & Company, IncorporatedBroker
July 2018 - Present · 8 yrs 3 mos
Previous Registrations
UBS Financial Services INC.
December 2006 - July 2018 · 11 yrs 7 mos
UBS Financial Services INC.Broker
December 2006 - July 2018 · 11 yrs 7 mos
Merrill Lynch Pierce Fenner & Smith INC.
September 1990 - December 2006 · 16 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1987 - December 2006 · 19 yrs 1 mo
State Registrations14 states
ALARFLINLAMAMSNCNVNYTNTXUTWA
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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Thomas Bell - Financial Advisor | TrueAdvisor