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JM
CFP
JM
CFP

John Mccarthy

Stifel, Nicolaus & Company, Incorporated
37 Years of Experience
Atlanta, GA
1 DisclosureBroker
View SEC Summary
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John Mccarthy is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Atlanta, GA, with 37 years of industry experience. John 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

3630 Peachtree Road NE, 4th Floor, Atlanta, GA, 30326

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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
August 2000
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is a board member for the Fulton County Employees Retirement System, dedicating minimal time. He is also a member of the golf committee at Brookfield Country Club, spending minimal time per quarter.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
January 2022 - Present · 4 yrs 9 mos
Stifel, Nicolaus & Company, IncorporatedBroker
January 2022 - Present · 4 yrs 9 mos
Previous Registrations
Truist Advisory Services, INC.
March 2021 - January 2022 · 10 mos
Truist Investment Services, INC.Broker
February 2021 - January 2022 · 11 mos
Bb&t Securities, LLC
January 2013 - March 2021 · 8 yrs 2 mos
Bb&t Securities, LLCBroker
January 2013 - February 2021 · 8 yrs 1 mo
Scott & Stringfellow, LLC
October 2010 - January 2013 · 2 yrs 3 mos
Scott & Stringfellow, LLCBroker
September 2010 - January 2013 · 2 yrs 4 mos
Robert W. Baird & CO. Incorporated
July 2004 - September 2010 · 6 yrs 2 mos
Robert W. Baird & CO. IncorporatedBroker
July 2004 - September 2010 · 6 yrs 2 mos
Morgan Stanley
March 2003 - July 2004 · 1 yr 4 mos
Morgan Stanley Dw INC.Broker
June 2000 - July 2004 · 4 yrs 1 mo
J.C. Bradford & CO.Broker
May 1996 - June 2000 · 4 yrs 1 mo
Raymond James & Associates, INC.Broker
June 1993 - June 1996 · 3 yrs
Alex. Brown & Sons IncorporatedBroker
May 1989 - June 1993 · 4 yrs 1 mo
Drexel Burnham Lambert IncorporatedBroker
March 1989 - June 1989 · 3 mos
State Registrations24 states
AKALAZCACODCFLGAILKYMIMONCNENJNVNYOHOKPASCTNTXVA
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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