William Caruana
William Caruana is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Enfield, CT, with 32 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
1699 King Street, Suite 401, Enfield, CT, 06082
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
William is a board member at South End Community Center Inc., assisting with the construction of a new building. This activity requires about 10-20% of his time and is not investment-related.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Citigroup Global Markets INC.Broker
Baybanks Brokerage Services, INC.Broker
State Registrations21 states
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