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Brittne Rivera

Stifel, Nicolaus & Company, Incorporated
12 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
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Brittne Rivera is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in New York, NY, with 12 years of industry experience. Brittne 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.
Employment Separation After Allegations
March 2018
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brittne is the Board Co-Chair of the Columbia University School of General Studies Alumni Association, dedicating minimal time to the role. She also owns Grey3 LLC, a cybersecurity consulting business operated by her husband, requiring no time commitment from her.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
September 2020 - Present · 6 yrs 1 mo
Stifel, Nicolaus & Company, IncorporatedBroker
September 2020 - Present · 6 yrs 1 mo
Previous Registrations
Pershing Advisor Solutions LLCBroker
September 2018 - September 2020 · 2 yrs
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2017 - March 2018 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2016 - March 2018 · 1 yr 7 mos
AXA Advisors, LLCBroker
June 2007 - June 2008 · 1 yr
Chase Investment Services CORP.Broker
July 2005 - October 2006 · 1 yr 3 mos
Banc One Securities CorporationBroker
October 2004 - July 2005 · 9 mos
State Registrations37 states
AZCACOCTDCDEFLGAIAILINKSLAMAMDMEMIMNMOMTNCNDNENHNJNVNYOHPAPRRISCTNTXUTVAWI
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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