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Jeffrey Sutton

Stifel, Nicolaus & Company, Incorporated
32 Years of Experience
Modesto, CA
2 DisclosuresBroker
View SEC Summary
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Jeffrey Sutton is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Modesto, CA, with 32 years of industry experience. Jeffrey 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

1549 Mchenry Avenue, Suite A, Modesto, CA, 95350

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History

Regulatory History (2)
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
May 1998
Closed-No Action
Customer Dispute
February 1997
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Jeffrey is the author of a book, "Why My Mommy?", and spends minimal time promoting it. He also owns rental property in Modesto, CA, dedicating minimal time to it annually.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
July 2018 - Present · 8 yrs 3 mos
Stifel, Nicolaus & Company, Incorporated
July 2018 - Present · 8 yrs 3 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
January 2008 - July 2018 · 10 yrs 6 mos
Wells Fargo Clearing Services, LLC
January 2008 - July 2018 · 10 yrs 6 mos
A. G. Edwards & Sons, INC.
July 1997 - January 2008 · 10 yrs 6 mos
A. G. Edwards & Sons, INC.Broker
March 1994 - January 2008 · 13 yrs 10 mos
Baraban Securities, INC.Broker
March 1994 - March 1994 · 0 mos
State Registrations25 states
AZCACOIAIDILINKYMDMIMOMTNCNMNVOKORPARITNTXUTVAWAWI
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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