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David Rode

Stifel, Nicolaus & Company, Incorporated
46 Years of Experience
Golden Valley, MN
1 DisclosureBroker
View SEC Summary
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David Rode is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Golden Valley, MN, with 46 years of industry experience. David 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

5500 Wayzata Boulevard, Suite 400, Golden Valley, MN, 55416

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History

Regulatory History (1)
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Criminal
May 1979
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
February 2007 - Present · 19 yrs 8 mos
Stifel, Nicolaus & Company, IncorporatedBroker
December 2006 - Present · 19 yrs 10 mos
Previous Registrations
Miller Johnson Steichen Kinnard, INC.Broker
January 2001 - December 2006 · 5 yrs 11 mos
Miller, Johnson & Kuehn, IncorporatedBroker
September 1996 - January 2001 · 4 yrs 4 mos
Summit Investment CorporationBroker
July 1982 - September 1996 · 14 yrs 2 mos
Pagel INC.Broker
April 1982 - July 1982 · 3 mos
Alstead, Strangis and Dempsey IncorporatedBroker
September 1980 - April 1982 · 1 yr 7 mos
State Registrations24 states
AKAZCACOFLHIIAIDMAMDMIMNMOMSNCNDNENMNYOHSDTXWAWI
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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