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Roger Wilkie

Stifel, Nicolaus & Company, Incorporated
56 Years of Experience
Overland Park, KS
8 DisclosuresBroker
View SEC Summary
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Roger Wilkie is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Overland Park, KS, with 56 years of industry experience. Roger 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

40 Corporate Woods Building, 9401 Indian Creek Parkway, Suite 1100, Overland Park, KS, 66210

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History

Regulatory History (8)
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
March 2021
Customer Dispute
October 2010
Settled
Customer Dispute
November 2008
Denied
Customer Dispute
December 2002
Denied
Customer Dispute
March 2001
Denied
Customer Dispute
January 1992
Settled
Regulatory
January 1990
Final
Customer Dispute
November 1988
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
April 2021 - Present · 5 yrs 6 mos
Stifel, Nicolaus & Company, IncorporatedBroker
April 2021 - Present · 5 yrs 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
March 2007 - April 2021 · 14 yrs 1 mo
Wells Fargo Clearing Services, LLCBroker
September 1990 - April 2021 · 30 yrs 7 mos
Blunt Ellis & Loewi IncorporatedBroker
October 1983 - September 1990 · 6 yrs 11 mos
B.C. Christopher Securities CO.Broker
January 1973 - November 1983 · 10 yrs 10 mos
F I Dupont Glore Forgan & COBroker
July 1970 - February 1973 · 2 yrs 7 mos
State Registrations22 states
ARAZCACOFLGAIAIDILKSMIMNMOMSNENMNYOKSCTNTXVA
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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