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Christopher Vanhorn

Stifel, Nicolaus & Company, Incorporated
38 Years of Experience
Long Beach, CA
1 DisclosureBroker
View SEC Summary
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Christopher Vanhorn is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Long Beach, CA, with 38 years of industry experience. Christopher 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

5834 E. Naples Plaza, 2nd Floor, Long Beach, CA, 90803

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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 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Christopher is the owner of 922 LLC, a real estate holding company, and helps manage properties. This activity is investment-related and takes minimal time.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
September 2020 - Present · 6 yrs 1 mo
Stifel, Nicolaus & Company, Incorporated
September 2020 - Present · 6 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
August 2005 - September 2020 · 15 yrs 1 mo
Wells Fargo Clearing Services, LLC
August 2005 - September 2020 · 15 yrs 1 mo
Citigroup Global Markets INC.
July 1997 - August 2005 · 8 yrs 1 mo
Citigroup Global Markets INC.Broker
July 1997 - August 2005 · 8 yrs 1 mo
Dean Witter Reynolds INC.Broker
November 1988 - June 1997 · 8 yrs 7 mos
Shearson Lehman Hutton INC.Broker
May 1988 - November 1988 · 6 mos
State Registrations12 states
AZCACOFLIAIDMINVNYTXVAWA
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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