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. James 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
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
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.
Exams
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