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Bruce Chappell

Stifel, Nicolaus & Company, Incorporated
32 Years of Experience
Wilmington, NC
1 DisclosureBroker
View SEC Summary
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Bruce Chappell is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Wilmington, NC, with 32 years of industry experience. Bruce 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

2005 Eastwood Road, Suite 102, Wilmington, NC, 28403

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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
July 2016
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Bruce is involved in numerous real estate and construction-related businesses, holding positions such as manager, member, CFO, and limited partner. He dedicates a significant amount of time (approximately 40 hours per week) to Thomas Construction Group as CFO.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
June 2020 - Present · 6 yrs 4 mos
Stifel, Nicolaus & Company, Incorporated
June 2020 - Present · 6 yrs 4 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 1997 - June 2020 · 22 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1994 - June 2020 · 26 yrs 1 mo
State Registrations23 states
ALAZCACODCFLGAILMDMEMNMONCNJNYOHPASCTNTXUTVAWI
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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