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Francine Foerst

Stifel, Nicolaus & Company, Incorporated
36 Years of Experience
Goshen, NY
2 DisclosuresBroker
View SEC Summary
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Francine Foerst is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Goshen, NY, with 36 years of industry experience. Francine 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

17 West Streeet, Goshen, NY, 10924

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History

Regulatory History (2)
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 2017
Denied
Customer Dispute
June 2016
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Francine is involved with Shaklee Products, dedicating minimal time outside of trading hours. She is also an associate with Isagenix, focusing on cleansing products, and this activity does not occur during security trading hours.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
November 2021 - Present · 4 yrs 11 mos
Stifel, Nicolaus & Company, IncorporatedBroker
February 2010 - Present · 16 yrs 8 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - March 2010 · 9 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
November 1989 - July 1993 · 3 yrs 8 mos
State Registrations18 states
AZCACODEFLGAMAMONCNJNYOHPASCTNTXVAWY
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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