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Tana Reich

Stifel, Nicolaus & Company, Incorporated
28 Years of Experience
Lake Forest, IL
4 DisclosuresBroker
View SEC Summary
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Tana Reich is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Lake Forest, IL, with 28 years of industry experience. Tana 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

100 North Field Drive, Suite 340, Lake Forest, IL, 60045

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History

Regulatory History (4)
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 2014
Denied
Customer Dispute
March 2014
Denied
Customer Dispute
January 2008
Settled
Customer Dispute
July 2002
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tana is a member of Lakeside 401 LLC and 50% owner of Lakeside 402 LLC, both holding companies for personal property storage units. She also volunteers on the services committee for Wildblue Charitable Neighbors, dedicating a few hours per week.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
April 2022 - Present · 4 yrs 6 mos
Stifel, Nicolaus & Company, Incorporated
April 2022 - Present · 4 yrs 6 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2008 - May 2022 · 14 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2008 - May 2022 · 14 yrs 4 mos
Chase Investment Services CORP.Broker
July 2005 - January 2008 · 2 yrs 6 mos
Chase Investment Services CORP.
July 2005 - January 2008 · 2 yrs 6 mos
Banc One Securities Corporation
November 2000 - July 2005 · 4 yrs 8 mos
Banc One Securities CorporationBroker
January 2000 - July 2005 · 5 yrs 6 mos
Financial Network Investment CorporationBroker
November 1997 - January 2000 · 2 yrs 2 mos
State Registrations28 states
ALAZCACOCTDCFLGAILINKSMAMDMIMONCNMNVNYOHORPASCTNTXVAWAWI
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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