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Stephen Brown

Stifel, Nicolaus & Company, Incorporated
38 Years of Experience
Fairport, NY
3 DisclosuresBroker
View SEC Summary
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Stephen Brown is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Fairport, NY, with 38 years of industry experience. Stephen 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

295 Woodcliff Drive, Fairport, NY, 14450

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History

Regulatory History (3)
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.
Regulatory
April 2016
Final
Employment Separation After Allegations
September 2014
Customer Dispute
April 2010
Denied
View Full SEC ReportHow to Read Disclosures
Other 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
October 2014 - Present · 12 yrs
Stifel, Nicolaus & Company, IncorporatedBroker
October 2014 - Present · 12 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 1994 - September 2014 · 20 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1991 - September 2014 · 23 yrs
Painewebber IncorporatedBroker
February 1988 - September 1991 · 3 yrs 7 mos
State Registrations24 states
ALAZCACTDCFLGAILKSMDMINCNHNJNYOKPARISCTNTXVAVTWI
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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