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Gerardo Fuentes

Stifel, Nicolaus & Company, Incorporated
20 Years of Experience
Dallas, TX
1 DisclosureBroker
View SEC Summary
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Gerardo Fuentes is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Dallas, TX, with 20 years of industry experience. Gerardo 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

2850 North Harwood, 18TH FLOOR & 17th FLOOR, Dallas, TX, 75201

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History

Regulatory History (1)
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
August 2015
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gerardo is involved with several organizations, including Dallas CASA, UTEP E-LEAD, Rockwell Parish Council, City of Dallas Economic Development Corporation, and John Paul II Catholic High School Finance Committee. These roles involve providing guidance and strategic planning, requiring minimal time commitment for each.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
August 2021 - Present · 5 yrs 2 mos
Stifel, Nicolaus & Company, IncorporatedBroker
August 2021 - Present · 5 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2012 - August 2021 · 9 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2011 - August 2021 · 9 yrs 10 mos
Banc of America Securities LLCBroker
June 2006 - May 2009 · 2 yrs 11 mos
Robertson Stephens, INC.Broker
January 2000 - September 2002 · 2 yrs 8 mos
State Registrations16 states
ALCACOFLILKSMIMONCNMNYOKRITXVAWI
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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