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Timothy Harris

Stifel, Nicolaus & Company, Incorporated
34 Years of Experience
Zionsville, IN
1 DisclosureBroker
View SEC Summary
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Timothy Harris is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Zionsville, IN, with 34 years of industry experience. Timothy 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

1620 W. Oak Street, Suite 101, Zionsville, IN, 46077

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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 2000
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
February 2017 - Present · 9 yrs 8 mos
Stifel, Nicolaus & Company, Incorporated
February 2017 - Present · 9 yrs 8 mos
Previous Registrations
City Securities Corporation
March 2009 - February 2017 · 7 yrs 11 mos
City Securities CorporationBroker
February 2009 - February 2017 · 8 yrs
Natcity Investments, INC.
October 2000 - February 2009 · 8 yrs 4 mos
Natcity Insurance Services, INC.Broker
January 1999 - December 2001 · 2 yrs 11 mos
Liberty Securities CorporationBroker
August 1998 - January 1999 · 5 mos
Natcity Investments, INC.Broker
June 1996 - February 2009 · 12 yrs 8 mos
Independent Financial Securities, INC.Broker
August 1995 - August 1998 · 3 yrs
National City Investments CorporationBroker
July 1995 - June 1996 · 11 mos
Edward D. Jones & CO., L.P.Broker
June 1992 - July 1995 · 3 yrs 1 mo
State Registrations35 states
ALARAZCACOCTFLGAIAILINKSKYLAMEMIMNMOMSNCNENJNVNYOHOKORPASCTNTXVAVTWAWI
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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