Stephen Brown
Stephen Brown is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Fairport, NY, with 38 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
295 Woodcliff Drive, Fairport, NY, 14450
Get directionsHistory
Regulatory History (3)
Regulatory
April 2016Employment Separation After Allegations
September 2014Customer Dispute
April 2010Other Business Activities
Stephen is co-founder of Iron Smoke Whiskey, LLC, a trustee at Nazareth College, and involved with Rochester Health Systems. He also participates in committees for the Investments & Wealth Institute, manages a commercial building through 59 Parce Avenue LLC, is part owner of Rochester Lacrosse LLC, and serves on committees for Nazareth University.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Painewebber IncorporatedBroker
State Registrations24 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.