Alan Wolman
Alan Wolman is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Center Valley, PA, with 32 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
3701 Corporate Parkway, Suite 110, Center Valley, PA, 18034
Get directionsHistory
Regulatory History (5)
Customer Dispute
November 2004Customer Dispute
October 2004Customer Dispute
February 2003Regulatory
May 1999Investigation
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA) LLCBroker
Legg Mason Wood Walker, IncorporatedBroker
Sg Cowen Securities CorporationBroker
Cowen & CO.Broker
Bear, Stearns & CO. INC.Broker
State Registrations17 states
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.