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Harold Shollmier

Stifel, Nicolaus & Company, Incorporated
28 Years of Experience
Little Rock, AR
2 DisclosuresBroker
View SEC Summary
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Harold Shollmier is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Little Rock, AR, with 28 years of industry experience. Harold 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
3352 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

11300 Cantrell Road, Suite 101, Little Rock, AR, 72212

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

Harold is involved with several organizations, including Centers for Youth & Families, Family Home of Little Rock, Margeaux Place Property Owner Assoc, and Garrison Institute. These activities involve board membership, fundraising, and secretarial duties, taking up minimal time overall.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
July 2015 - Present · 11 yrs 3 mos
Stifel, Nicolaus & Company, IncorporatedBroker
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Sterne Agee Asset Management, INC.
March 2005 - July 2015 · 10 yrs 4 mos
Sterne Agee & Leach, INC. Capital Management
August 2004 - December 2005 · 1 yr 4 mos
Sterne, Agee & Leach, INC.Broker
June 2001 - July 2015 · 14 yrs 1 mo
Firstar Investment Services,inc.Broker
January 2000 - June 2001 · 1 yr 5 mos
Mercantile Investment Services, INC.Broker
October 1997 - January 2000 · 2 yrs 3 mos
State Registrations12 states
ARCACOLAMDMNMOMSNYOKORTX
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 Little Rock, AR →All financial advisors in Arkansas →
Harold Shollmier - Financial Advisor | TrueAdvisor