Matthew Waldman
Matthew Waldman is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Chicago, IL, with 30 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
One North Wacker, Suite 3400, Chicago, IL, 60606
Get directionsHistory
Regulatory History (3)
Customer Dispute
April 2005Customer Dispute
March 2002Customer Dispute
March 2001Other 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
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA) LLCBroker
Morgan Stanley Dw INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Securities IncorporatedBroker
State Registrations20 states
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.