Robert Caine
Robert Caine is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Phoenix, AZ, with 10 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
2801 East Camelback Road, Phoenix, AZ, 85016
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Regulatory History
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.
Learn about disclosures →Other Business Activities
Robert co-owns a single-family rental property, Enchanted New Mexico Properties LLC, and helps manage repairs and bills, dedicating a few hours per week. He is also a board member for the Albuquerque Public Schools Education Foundation, attending meetings and volunteering, which takes minimal time.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Blackrock Investment Management, LLC
Blackrock Investments, LLCBroker
Invesco Advisers, INC.
Invesco Distributors, INC.Broker
Thornburg Investment Management INC
Thornburg Securities CorporationBroker
Oppenheimerfunds Distributor, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations4 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.