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CFP
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CFP

Frederick Ross

Stifel, Nicolaus & Company, Incorporated
36 Years of Experience
Atlanta, GA
1 DisclosureBroker
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Frederick Ross is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Atlanta, GA, with 36 years of industry experience. Frederick 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.
Employment Separation After Allegations
November 2005
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Frederick is the President of the Wembley Hall Homeowners Association, overseeing its operations. This activity requires minimal time and is not investment-related.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
November 2018 - Present · 7 yrs 11 mos
Stifel, Nicolaus & Company, IncorporatedBroker
November 2018 - Present · 7 yrs 11 mos
Previous Registrations
Raymond James & Associates, INC.
February 2006 - November 2018 · 12 yrs 9 mos
Raymond James & Associates, INC.Broker
December 2005 - November 2018 · 12 yrs 11 mos
Suntrust Investment Services, INC.
June 2005 - December 2005 · 6 mos
Suntrust Investment Services, INC.Broker
June 2005 - December 2005 · 6 mos
Suntrust Capital Markets, INC.
September 2002 - July 2005 · 2 yrs 10 mos
Suntrust Capital Markets, INC.Broker
September 2002 - June 2005 · 2 yrs 9 mos
Deutsche Bank Securities INC.Broker
January 2001 - September 2002 · 1 yr 8 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
August 1994 - September 1997 · 3 yrs 1 mo
D. Blech & Company, IncorporatedBroker
January 1994 - August 1994 · 7 mos
Lehman Brothers INC.Broker
January 1990 - February 1994 · 4 yrs 1 mo
State Registrations17 states
AZCACOCTFLGAILKYLAMANJNYOHSCTNVAWA
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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