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Carl Schulman

Stifel, Nicolaus & Company, Incorporated
56 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
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Carl Schulman is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in New York, NY, with 56 years of industry experience. Carl 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

1095 Avenue of the Americas, 3rd & 4th Floors, New York, NY, 10036

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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
January 1996
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carl is a board member of The Water Club Homeowners Association, running the association since 1992. He owns a home in the association and spends minimal time on this activity.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
May 2021 - Present · 5 yrs 5 mos
Stifel, Nicolaus & Company, Incorporated
August 2007 - Present · 19 yrs 2 mos
Stifel, Nicolaus & Company, IncorporatedBroker
August 2007 - Present · 19 yrs 2 mos
Previous Registrations
Ryan Beck & CO.Broker
April 2002 - August 2007 · 5 yrs 4 mos
Gruntal & CO., L.L.C.Broker
December 1981 - May 2002 · 20 yrs 5 mos
Bache Halsey Stuart Shields IncorporatedBroker
October 1981 - January 1982 · 3 mos
Bruns, Nordeman, Rea & CO.Broker
August 1980 - November 1982 · 2 yrs 3 mos
Ladenburg, Thalmann & CO., INC.Broker
December 1976 - August 1980 · 3 yrs 8 mos
Heine, Fishbein & CO INCBroker
October 1975 - February 1977 · 1 yr 4 mos
Shearson Hayden Stone INC.Broker
August 1973 - September 1975 · 2 yrs 1 mo
Weis Securities, INC.Broker
September 1969 - June 1973 · 3 yrs 9 mos
State Registrations11 states
AZCACOCTFLMANHNJNVNYOH
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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