Stephen Carter
Stephen Carter is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Denver, CO, with 48 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
44 Cook Street, Suite 450, Denver, CO, 80206
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
October 2013Customer Dispute
March 2008Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
UBS Financial Services INC.Broker
UBS Financial Services INC.
U.S. Bancorp Investments, INC.Broker
Piper Jaffray & CO.
Piper Jaffray & CO.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Drexel Burnham Lambert IncorporatedBroker
Boettcher & Company, INC.Broker
The Chicago CorporationBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
State Registrations17 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.