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AB
CFP
AB
CFP

Alan Beatty

Stifel, Nicolaus & Company, Incorporated
11 Years of Experience
Jefferson City, MO
Broker
View SEC Summary
View SEC Summary

Alan Beatty is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Jefferson City, MO, with 11 years of industry experience. Alan 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
3352 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

222 Madison Street, Jefferson City, MO, 65101

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Alan is a landlord/property owner for a rental property through My Rental LLC since 2022. This activity takes minimal time and is investment-related.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
January 2015 - Present · 11 yrs 9 mos
Stifel, Nicolaus & Company, IncorporatedBroker
November 2014 - Present · 11 yrs 11 mos
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
September 2014 - September 2014 · 0 mos
State Registrations21 states
AZCACOFLGAILINKSMDMEMIMONENVNYOHOKSCTXVAVirgin Islands
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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