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Stephen Carter

Stifel, Nicolaus & Company, Incorporated
48 Years of Experience
Denver, CO
2 DisclosuresBroker
View SEC Summary
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Stephen Carter is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Denver, CO, with 48 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

44 Cook Street, Suite 450, Denver, CO, 80206

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History

Regulatory History (2)
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.
Employment Separation After Allegations
October 2013
Customer Dispute
March 2008
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
October 2013 - Present · 13 yrs
Stifel, Nicolaus & Company, IncorporatedBroker
October 2013 - Present · 13 yrs
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
October 2013 - October 2013 · 0 mos
UBS Financial Services INC.Broker
August 2006 - October 2013 · 7 yrs 2 mos
UBS Financial Services INC.
August 2006 - October 2013 · 7 yrs 2 mos
U.S. Bancorp Investments, INC.Broker
July 1999 - September 2001 · 2 yrs 2 mos
Piper Jaffray & CO.
January 1999 - August 2006 · 7 yrs 7 mos
Piper Jaffray & CO.Broker
August 1992 - August 2006 · 14 yrs
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1989 - March 1990 · 10 mos
Drexel Burnham Lambert IncorporatedBroker
August 1987 - May 1989 · 1 yr 9 mos
Boettcher & Company, INC.Broker
July 1982 - August 1987 · 5 yrs 1 mo
The Chicago CorporationBroker
August 1981 - June 1982 · 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - August 1981 · 2 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
April 1975 - September 1978 · 3 yrs 5 mos
State Registrations18 states
AZCACOFLHIIAILINMIMTNMNVOHPATXUTWAWY
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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