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Michael Stein

Stifel, Nicolaus & Company, Incorporated
34 Years of Experience
Morristown, NJ
1 DisclosureBroker
View SEC Summary
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Michael Stein is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Morristown, NJ, with 34 years of industry experience. Michael 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

305 Madison Avenue, Morristown, NJ, 07960

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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
October 2013
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Michael is a basketball referee, dedicating a few hours per week to this activity. He also referees lacrosse, baseball, and football games, and co-owns rental property with his brother, dedicating minimal time per year to this.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
August 2010 - Present · 16 yrs 2 mos
Stifel, Nicolaus & Company, Incorporated
August 2010 - Present · 16 yrs 2 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - August 2010 · 1 yr 2 mos
Morgan Stanley Smith Barney LLC
June 2009 - August 2010 · 1 yr 2 mos
Citigroup Global Markets INC.
July 2002 - June 2009 · 6 yrs 11 mos
Citigroup Global Markets INC.Broker
May 1994 - June 2009 · 15 yrs 1 mo
David Lerner Associates, INC.Broker
January 1992 - May 1994 · 2 yrs 4 mos
State Registrations16 states
AZCACOCTFLGAMAMINCNJNVNYSCTNUTVA
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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