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Taylor Browman

Stifel, Nicolaus & Company, Incorporated
45 Years of Experience
Newport Beach, CA
4 DisclosuresBroker
View SEC Summary
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Taylor Browman is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Newport Beach, CA, with 45 years of industry experience. Taylor 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

520 Newport Center Drive, Suite 1500, Newport Beach, CA, 92660

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History

Regulatory History (4)
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.
Customer Dispute
July 2018
Denied
Customer Dispute
October 2002
Denied
Customer Dispute
July 2002
Denied
Customer Dispute
August 1993
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
June 2019 - Present · 7 yrs 4 mos
Stifel, Nicolaus & Company, IncorporatedBroker
June 2019 - Present · 7 yrs 4 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
September 2006 - June 2019 · 12 yrs 9 mos
Wells Fargo Clearing Services, LLC
August 2006 - June 2019 · 12 yrs 10 mos
Citigroup Global Markets INC.
July 1997 - September 2006 · 9 yrs 2 mos
Citigroup Global Markets INC.Broker
November 1991 - September 2006 · 14 yrs 10 mos
Sutro & CO. IncorporatedBroker
March 1989 - November 1991 · 2 yrs 8 mos
Prudential-Bache Securities INC.Broker
February 1987 - March 1989 · 2 yrs 1 mo
Painewebber IncorporatedBroker
November 1985 - March 1987 · 1 yr 4 mos
Shearson Lehman Brothers INC.Broker
October 1982 - November 1985 · 3 yrs 1 mo
Smith Barney, Harris Upham & CO., IncorporatedBroker
July 1981 - October 1982 · 1 yr 3 mos
State Registrations25 states
AZCACODEFLGAHIIDILMIMOMTNCNVNYOHORPRSCTNTXUTVAWAWY
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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