Richard Stocke
Richard Stocke is a registered investment advisor at Oppenheimer & CO. INC., based in St. Louis, MO, with 29 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.
Fee Estimator
Location
One North Brentwood Boulevard, Suite 600, St. Louis, MO, 63105
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2000Other Business Activities
Richard is the trustee for two trusts: one established upon his parents' death for his brother, Robert G. Stocke, and the Stocke Family Rev Trust. He became trustee of the latter in July 2019.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
Oppenheimer Asset Management
Fahnestock Asset Management
Cibc World Markets CORP.
Cibc World Markets CORP.Broker
A. G. Edwards & Sons, INC.Broker
State Registrations18 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.
Exams
More Advisors
- Daniel FindleyOppenheimer & CO. INC.
- Timothy ShockleeOppenheimer & CO. INC.
- Daniel FeichtnerOppenheimer & CO. INC.
- Daniel VatterottOppenheimer & CO. INC.
- Richard LeveyOppenheimer & CO. INC.
- David NaertOppenheimer & CO. INC.