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CFP
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CFP

Stephen Simon

Stifel, Nicolaus & Company, Incorporated
7 Years of Experience
San Francisco, CA
Broker
View SEC Summary
View SEC Summary

Stephen Simon is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in San Francisco, CA, with 7 years of industry experience. Stephen 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

One Montgomery Street, Suites 3300, 3500, 3600, & 3700, San Francisco, CA, 94104

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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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Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
April 2021 - Present · 5 yrs 6 mos
Stifel, Nicolaus & Company, IncorporatedBroker
February 2021 - Present · 5 yrs 8 mos
Stifel, Nicolaus & Company, Incorporated
February 2021 - Present · 5 yrs 8 mos
Previous Registrations
Aspiriant, LLC
February 2020 - November 2020 · 9 mos
Stifel, Nicolaus & Company, IncorporatedBroker
August 2016 - May 2017 · 9 mos
State Registrations17 states
ALAZCADEFLGAIDILMAMOMTNVOHPASCTXWA
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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