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Matthew Neis

Stifel, Nicolaus & Company, Incorporated
34 Years of Experience
Lawrence, KS
1 DisclosureBroker
View SEC Summary
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Matthew Neis is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Lawrence, KS, with 34 years of industry experience. Matthew 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

4910 Corporate Centre Drive, Suite 104, Lawrence, KS, 66047

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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
April 2008
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Matthew is involved with Mark Neis Farms, an agricultural business owned by a family member, since 1998. He also serves as President of the Lawrence Breakfast Cosmos Club, a civic organization, dedicating a few hours per week to conducting meetings and overseeing functions.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
October 2019 - Present · 7 yrs
Stifel, Nicolaus & Company, Incorporated
October 2019 - Present · 7 yrs
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
January 2008 - November 2019 · 11 yrs 10 mos
Wells Fargo Clearing Services, LLC
January 2008 - November 2019 · 11 yrs 10 mos
A. G. Edwards & Sons, INC.
July 2000 - January 2008 · 7 yrs 6 mos
A. G. Edwards & Sons, INC.Broker
February 1999 - January 2008 · 8 yrs 11 mos
Edward D. Jones & CO., L.P.Broker
April 1992 - February 1999 · 6 yrs 10 mos
State Registrations18 states
ARCACOCTFLGAIDKSLAMEMIMOMTNENYOKTXVA
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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