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Michael Thompson

Stifel, Nicolaus & Company, Incorporated
33 Years of Experience
Bellevue, WA
2 DisclosuresBroker
View SEC Summary
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Michael Thompson is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Bellevue, WA, with 33 years of industry experience. Michael 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

10400 NE 4th Street, Suite 2000, Bellevue, WA, 98004

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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.
Judgment / Lien
August 2024
Customer Dispute
October 2019
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
March 2019 - Present · 7 yrs 7 mos
Stifel, Nicolaus & Company, Incorporated
March 2019 - Present · 7 yrs 7 mos
Stifel, Nicolaus & Company, IncorporatedBroker
March 2019 - Present · 7 yrs 7 mos
Previous Registrations
Charles Schwab & CO., INC.
February 2001 - March 2019 · 18 yrs 1 mo
Charles Schwab & CO., INC.Broker
November 1999 - March 2019 · 19 yrs 4 mos
Dean Witter Reynolds INC.Broker
June 1997 - October 1999 · 2 yrs 4 mos
Murphey Favre, INC.Broker
April 1993 - July 1997 · 4 yrs 3 mos
State Registrations8 states
AZCAIDNVORTXVAWA
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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