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John Patterson

Stifel, Nicolaus & Company, Incorporated
33 Years of Experience
Redlands, CA
3 DisclosuresBroker
View SEC Summary
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John Patterson is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Redlands, CA, with 33 years of industry experience. John 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

31 W. Stuart Avenue, Suite 200, Redlands, CA, 92374

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History

Regulatory History (3)
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
January 2000
Settled
Customer Dispute
November 1999
Settled
Employment Separation After Allegations
October 1999
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John owns two rental properties in Dana Point, CA, dedicating minimal time to maintenance. He also serves as President of Wakedancer LLC for vehicle registration and as Assistant District Governor for Rotary International, both requiring minimal time commitments.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
April 2019 - Present · 7 yrs 6 mos
Stifel, Nicolaus & Company, Incorporated
April 2019 - Present · 7 yrs 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
January 2008 - April 2019 · 11 yrs 3 mos
Wells Fargo Clearing Services, LLC
January 2008 - April 2019 · 11 yrs 3 mos
A. G. Edwards & Sons, INC.
March 2001 - January 2008 · 6 yrs 10 mos
A. G. Edwards & Sons, INC.Broker
November 1999 - January 2008 · 8 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1993 - November 1999 · 6 yrs 2 mos
Chatfield Dean & CO., INC.Broker
May 1993 - August 1993 · 3 mos
State Registrations19 states
AZCACOFLGAHIIDMEMIMONVOKORPASDTNTXUTWA
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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