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Toni Rose

Stifel, Nicolaus & Company, Incorporated
19 Years of Experience
Fort Worth, TX
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Toni Rose is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Fort Worth, TX, with 19 years of industry experience. Toni 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

300 Throckmorton Street, Suite 1400, Fort Worth, TX, 76102

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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.
Criminal
November 2025
Pending Charge
Customer Dispute
June 2019
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Toni is a member of Bucking Bulls Online LLC, spending minimal time helping with events. Toni also owns Wall Street Cattle Company LLC and Wall Street Equine Events, LLC, dedicating minimal time to each.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
January 2019 - Present · 7 yrs 9 mos
Stifel, Nicolaus & Company, IncorporatedBroker
January 2019 - Present · 7 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2014 - January 2019 · 4 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2014 - January 2019 · 4 yrs 5 mos
Cetera Investment Advisers LLC
January 2014 - August 2014 · 7 mos
Cetera Investment Services LLCBroker
September 2010 - August 2014 · 3 yrs 11 mos
Cetera Investment Services LLC
September 2010 - January 2014 · 3 yrs 4 mos
CUNA Brokerage Services, INC.
April 2008 - September 2010 · 2 yrs 5 mos
CUNA Brokerage Services, INC.Broker
April 2008 - September 2010 · 2 yrs 5 mos
USAA Investment Management Company
October 2007 - April 2008 · 6 mos
USAA Financial Advisors, INC.Broker
October 2007 - April 2008 · 6 mos
USAA Investment Management CompanyBroker
September 2007 - December 2007 · 3 mos
State Registrations33 states
ALARAZCACOCTDEFLGAHIILINLAMAMDMIMOMSNCNJNMNYOHOKORPASCTNTXUTVAWAWI
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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Toni Rose - Financial Advisor | TrueAdvisor