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Andrew Woolworth

Stifel, Nicolaus & Company, Incorporated
20 Years of Experience
New York, NY
2 DisclosuresBroker
View SEC Summary
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Andrew Woolworth is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in New York, NY, with 20 years of industry experience. Andrew 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 (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.
Employment Separation After Allegations
October 2012
Customer Dispute
October 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Andrew serves on the Board of Advisory for the Forum Club, a business and social club with locations in London, Dubai, Singapore, and New York, consulting on events and members. This activity requires minimal time and is not investment-related.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
February 2020 - Present · 6 yrs 8 mos
Stifel, Nicolaus & Company, IncorporatedBroker
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - November 2012 · 3 yrs 5 mos
Citigroup Global Markets INC.Broker
December 2005 - June 2009 · 3 yrs 6 mos
Hold Brothers On-Line Investment Services L.L.C.Broker
September 2005 - September 2005 · 0 mos
Labranche & CO. LLCBroker
June 2001 - July 2001 · 1 mo
State Registrations35 states
ALCACOCTDCDEFLGAIAIDILINKYLAMDMEMIMOMTNCNENJNVNYORPARISCSDTNTXVAVTWIWY
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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