Roger Saks
Roger Saks is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Saratoga Springs, NY, 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
18 Division Street, Suite 209 & 211A, Saratoga Springs, NY, 12866
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Roger is a co-owner of Treetop Adventure, an outdoor adventure park, and co-owner/passive investor in DARL LLC, which owns land for park development. He also serves as an independent advisor for Ruby's Naturals Inc. and is involved with the Wharton Club of New Jersey and the Northern Lake George Yacht Club, dedicating minimal time to each activity.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Barclays Capital INC.
Barclays Capital INC.Broker
Lehman Brothers INC.Broker
Goldman, Sachs & CO.Broker
State Registrations29 states
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