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Douglas Bowcock

Stifel, Nicolaus & Company, Incorporated
35 Years of Experience
San Diego, CA
1 DisclosureBroker
View SEC Summary
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Douglas Bowcock is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in San Diego, CA, with 35 years of industry experience. Douglas 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

16870 West Bernardo Drive, Suite 150, San Diego, CA, 92127

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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
December 2009
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Douglas is a board member of the Kiwanis Club of Escondido/Hidden Valley, a charitable organization, dedicating a few hours per week. This activity is not investment-related.

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
Wells Fargo Clearing Services, LLC
January 2008 - November 2019 · 11 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
January 2008 - November 2019 · 11 yrs 10 mos
A. G. Edwards & Sons, INC.Broker
October 2005 - January 2008 · 2 yrs 3 mos
A. G. Edwards & Sons, INC.
October 2005 - January 2008 · 2 yrs 3 mos
Morgan Stanley
July 1997 - November 2005 · 8 yrs 4 mos
Morgan Stanley Dw INC.Broker
June 1991 - November 2005 · 14 yrs 5 mos
State Registrations32 states
ARAZCACOCTFLGAHIIAIDILINKSMAMDMIMNMOMTNCNMNVNYORPASCTNTXUTVAWAWI
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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