TrueAdvisor
TrueAdvisor
JB
JB

Jay Brown

Stifel, Nicolaus & Company, Incorporated
57 Years of Experience
Houston, TX
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Jay Brown is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Houston, TX, with 57 years of industry experience. Jay 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

1300 Post Oak Blvd., Suites 1550 & 1540, Houston, TX, 77056

Get directions

History

Regulatory History (3)
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 1991
Settled
Customer Dispute
May 1990
Settled
Customer Dispute
March 1990
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
April 2025 - Present · 1 yr 6 mos
Stifel, Nicolaus & Company, IncorporatedBroker
April 2025 - Present · 1 yr 6 mos
Previous Registrations
B. Riley Wealth Advisors, INC.
July 2022 - April 2025 · 2 yrs 9 mos
B. Riley Wealth ManagementBroker
September 2015 - April 2025 · 9 yrs 7 mos
B Riley Wealth Management
September 2015 - December 2022 · 7 yrs 3 mos
Southwest Securities, INC.Broker
June 2009 - October 2015 · 6 yrs 4 mos
Hilltop Securities INC.
June 2009 - October 2015 · 6 yrs 4 mos
Morgan Stanley Smith BarneyBroker
June 2009 - June 2009 · 0 mos
Morgan Stanley Smith Barney LLC
June 2009 - June 2009 · 0 mos
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Citigroup Global Markets INC.
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker, IncorporatedBroker
July 1993 - February 2006 · 12 yrs 7 mos
Legg Mason Wood Walker INC
July 1993 - February 2006 · 12 yrs 7 mos
Painewebber IncorporatedBroker
January 1991 - June 1993 · 2 yrs 5 mos
Rotan Mosle INC.Broker
May 1971 - January 1991 · 19 yrs 8 mos
J.C. Bradford & CO.Broker
December 1968 - May 1971 · 2 yrs 5 mos
State Registrations9 states
CACOFLGAIAMNNYOHTX
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.
More Advisors
More financial advisors in Houston, TX →All financial advisors in Texas →