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Harry Fischer

Stifel, Nicolaus & Company, Incorporated
49 Years of Experience
San Luis Obispo, CA
4 DisclosuresBroker
View SEC Summary
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Harry Fischer is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in San Luis Obispo, CA, with 49 years of industry experience. Harry 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

4460 Broad Street, Suite 210, San Luis Obispo, CA, 93401

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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 2016
Settled
Regulatory
June 1997
Final
Customer Dispute
June 1996
Settled
Customer Dispute
February 1996
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Harry serves as a trustee for his father, a role that is investment-related. This requires minimal time.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
December 2020 - Present · 5 yrs 10 mos
Stifel, Nicolaus & Company, Incorporated
December 2020 - Present · 5 yrs 10 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
March 2010 - December 2020 · 10 yrs 9 mos
Wells Fargo Clearing Services, LLC
March 2010 - December 2020 · 10 yrs 9 mos
RBC Capital Markets Corporation
May 2002 - March 2010 · 7 yrs 10 mos
RBC Capital Markets CorporationBroker
March 2002 - March 2010 · 8 yrs
Sutro & CO. IncorporatedBroker
April 1995 - March 2002 · 6 yrs 11 mos
Everen Securities, INC.Broker
September 1990 - April 1995 · 4 yrs 7 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
November 1976 - September 1990 · 13 yrs 10 mos
State Registrations9 states
AZCACOFLNCNVNYORTX
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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Harry Fischer - Financial Advisor | TrueAdvisor