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Julian Lively

Stifel, Nicolaus & Company, Incorporated
35 Years of Experience
Augusta, GA
1 DisclosureBroker
View SEC Summary
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Julian Lively is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Augusta, GA, with 35 years of industry experience. Julian 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

633 Berckman Road, Augusta, GA, 30909

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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
August 2005
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Julian is a finance committee member and treasurer for Kiokee Baptist Church. These roles involve offering input on financial issues, supervising financial affairs, and making recommendations, taking a few hours per week.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
August 2009 - Present · 17 yrs 2 mos
Stifel, Nicolaus & Company, Incorporated
August 2009 - Present · 17 yrs 2 mos
Previous Registrations
UBS Financial Services INC.
October 2005 - August 2009 · 3 yrs 10 mos
UBS Financial Services INC.Broker
October 2005 - August 2009 · 3 yrs 10 mos
Morgan Stanley
February 2003 - November 2005 · 2 yrs 9 mos
Morgan Stanley Dw INC.Broker
April 1999 - November 2005 · 6 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1991 - April 1999 · 7 yrs 7 mos
State Registrations13 states
ALAZCAFLGAKYMDMINCNYSCTNTX
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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