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William Kass

Stifel, Nicolaus & Company, Incorporated
37 Years of Experience
New Orleans, LA
1 DisclosureBroker
View SEC Summary
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William Kass is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in New Orleans, LA, with 37 years of industry experience. William 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

639 Loyola Avenue, Suite 200, New Orleans, LA, 70113

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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
March 2011
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William is the owner of M.B.H. Marine, LLC, established for liability reasons related to his personal recreational boat. He spends minimal time on this activity.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
September 2014 - Present · 12 yrs 1 mo
Stifel, Nicolaus & Company, IncorporatedBroker
September 2014 - Present · 12 yrs 1 mo
Previous Registrations
Raymond James & Associates, INC.
February 2013 - October 2014 · 1 yr 8 mos
Raymond James & Associates, INC.Broker
February 2013 - October 2014 · 1 yr 8 mos
Morgan Keegan & Company, INC.
January 2005 - February 2013 · 8 yrs 1 mo
Morgan Keegan & Company, INC.Broker
April 1998 - February 2013 · 14 yrs 10 mos
Smith Barney INC.Broker
July 1993 - April 1998 · 4 yrs 9 mos
Lehman Brothers INC.Broker
January 1993 - July 1993 · 6 mos
Painewebber IncorporatedBroker
September 1989 - January 1993 · 3 yrs 4 mos
First Eagle, INC.Broker
January 1989 - June 1989 · 5 mos
State Registrations14 states
ARCAFLGAKYLAMSNJNYOHPATNTXVA
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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