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Daniel Raupp

Stifel, Nicolaus & Company, Incorporated
37 Years of Experience
Barrington, IL
3 DisclosuresBroker
View SEC Summary
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Daniel Raupp is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Barrington, IL, with 37 years of industry experience. Daniel 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

257 East Main Street, Barrington, IL, 60010

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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.
Customer Dispute
September 2010
Settled
Customer Dispute
April 2010
Withdrawn
Customer Dispute
January 2009
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
November 2019 - Present · 6 yrs 11 mos
Stifel, Nicolaus & Company, Incorporated
November 2019 - Present · 6 yrs 11 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - November 2019 · 10 yrs 5 mos
Morgan Stanley
June 2009 - November 2019 · 10 yrs 5 mos
Morgan Stanley & CO. IncorporatedBroker
September 2007 - June 2009 · 1 yr 9 mos
Morgan Stanley & CO. Incorporated
September 2007 - June 2009 · 1 yr 9 mos
Harris Investor Services, INC.
December 2005 - September 2007 · 1 yr 9 mos
Harris Investor Services, INC.Broker
December 2005 - September 2007 · 1 yr 9 mos
Harrisdirect LLCBroker
May 2002 - December 2005 · 3 yrs 7 mos
Harrisdirect LLC
December 2001 - December 2005 · 4 yrs
Harris Investorline INC.Broker
September 2001 - May 2002 · 8 mos
Protrader Trading, L.L.C.Broker
July 2001 - August 2001 · 1 mo
Protrader Securities CorporationBroker
April 2001 - August 2001 · 4 mos
Quick & Reilly, INC.Broker
June 1995 - April 2001 · 5 yrs 10 mos
Mesirow Financial, INC.Broker
April 1994 - June 1995 · 1 yr 2 mos
Dean Witter Reynolds INC.Broker
May 1990 - April 1994 · 3 yrs 11 mos
Bishop Securities, INC.Broker
December 1989 - May 1990 · 5 mos
Century Financial Securities, INC.Broker
August 1989 - May 1990 · 9 mos
State Registrations20 states
AZCACOFLGAIDILINKYMAMIMNMONCOHOKTNTXVAWI
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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