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CFP
JH
CFP

John Holliday

Stifel, Nicolaus & Company, Incorporated
30 Years of Experience
Tupelo, MS
2 DisclosuresBroker
View SEC Summary
View SEC Summary

John Holliday is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Tupelo, MS, with 30 years of industry experience. John 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

144 South Thomas Street, Suite 106, Tupelo, MS, 38801

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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
April 2009
Pending
Customer Dispute
April 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is a board member of the 4-H Club Foundation of Mississippi, advising the State 4-H program Director and assisting with funding. This activity requires minimal time and is not investment-related.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
July 2015 - Present · 11 yrs 3 mos
Stifel, Nicolaus & Company, Incorporated
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Sterne Agee Asset Management, INC.
May 2009 - July 2015 · 6 yrs 2 mos
Sterne, Agee & Leach, INC.Broker
March 2009 - July 2015 · 6 yrs 4 mos
Stanford Group CompanyBroker
June 2006 - March 2009 · 2 yrs 9 mos
Stanford Group Company
June 2006 - March 2009 · 2 yrs 9 mos
Efp Wealth Management
April 1999 - June 2006 · 7 yrs 2 mos
Fsc Securities CorporationBroker
May 1997 - July 2006 · 9 yrs 2 mos
Commonwealth Equity Services, INC.Broker
August 1996 - May 1997 · 9 mos
State Registrations16 states
ALARAZCACOFLGAKYLAMAMSOHSDTNTXVA
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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More financial advisors in Tupelo, MS →All financial advisors in Mississippi →
John Holliday - Financial Advisor | TrueAdvisor