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John Lee

Stifel, Nicolaus & Company, Incorporated
45 Years of Experience
Incline Village, NV
3 DisclosuresBroker
View SEC Summary
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John Lee is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Incline Village, NV, with 45 years of industry experience. John 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

Incline Village, NV

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History

Regulatory History (3)
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.
Regulatory
October 1990
Final
Customer Dispute
May 1987
Award / Judgment
Customer Dispute
January 1985
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
August 2007 - Present · 19 yrs 2 mos
Stifel, Nicolaus & Company, Incorporated
August 2007 - Present · 19 yrs 2 mos
Previous Registrations
A. G. Edwards & Sons, INC.
July 1997 - September 2007 · 10 yrs 2 mos
A. G. Edwards & Sons, INC.Broker
April 1986 - September 2007 · 21 yrs 5 mos
Drexel Burnham Lambert IncorporatedBroker
January 1984 - July 1986 · 2 yrs 6 mos
Private Ledger Financial Services, IncorporatedBroker
March 1983 - April 1984 · 1 yr 1 mo
Drexel Burnham Lambert IncorporatedBroker
January 1981 - March 1983 · 2 yrs 2 mos
State Registrations2 states
CANV
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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