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Matthew Waldman

Stifel, Nicolaus & Company, Incorporated
31 Years of Experience
Chicago, IL
3 DisclosuresBroker
View SEC Summary
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Matthew Waldman is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Chicago, IL, with 31 years of industry experience. Matthew 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

One North Wacker, Suite 3400, Chicago, IL, 60606

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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
April 2005
Settled
Customer Dispute
March 2002
Settled
Customer Dispute
March 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Matthew is a trustee for the United States Olympic and Paralympic Foundation, a charitable foundation. He dedicates minimal time to this activity.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
August 2016 - Present · 10 yrs 2 mos
Stifel, Nicolaus & Company, Incorporated
August 2016 - Present · 10 yrs 2 mos
Stifel, Nicolaus & Company, Incorporated
August 2016 - Present · 10 yrs 2 mos
Previous Registrations
UBS Financial Services INC.
July 2011 - August 2016 · 5 yrs 1 mo
UBS Financial Services INC.Broker
July 2011 - August 2016 · 5 yrs 1 mo
Credit Suisse Securities (USA) LLC
April 2005 - August 2011 · 6 yrs 4 mos
Credit Suisse Securities (USA) LLCBroker
April 2005 - August 2011 · 6 yrs 4 mos
Morgan Stanley Dw INC.Broker
October 2000 - April 2005 · 4 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1996 - December 2000 · 4 yrs 3 mos
Prudential Securities IncorporatedBroker
June 1995 - September 1996 · 1 yr 3 mos
State Registrations20 states
AKCACOCTDCFLILMAMDMEMIMONYOHPASCTXUTWAWI
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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