Roger Wilkie
Roger Wilkie is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Overland Park, KS, with 55 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
40 Corporate Woods Building, 9401 Indian Creek Parkway, Suite 1100, Overland Park, KS, 66210
Get directionsHistory
Regulatory History (8)
Employment Separation After Allegations
March 2021Customer Dispute
October 2010Customer Dispute
November 2008Customer Dispute
December 2002Customer Dispute
March 2001Customer Dispute
January 1992Regulatory
January 1990Customer Dispute
November 1988Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Blunt Ellis & Loewi IncorporatedBroker
B.C. Christopher Securities CO.Broker
F I Dupont Glore Forgan & COBroker
State Registrations20 states
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.