James Baudo
James Baudo is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Greenwood Village, CO, with 34 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
6312 S Fiddlers Green Circle, Suite 520E, Greenwood Village, CO, 80111
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2001Other Business Activities
James is the registered agent for Santiam Leasing and Sales, a company that purchases and leases property. He spends minimal time securing, leasing, and disposing of assets for them.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Kirkpatrick, Pettis, Smith, Polian INC.Broker
Ebi Securities CorporationBroker
R a F Financial CorporationBroker
State Registrations14 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.