Harry Fischer
Harry Fischer is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in San Luis Obispo, CA, with 49 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
4460 Broad Street, Suite 210, San Luis Obispo, CA, 93401
Get directionsHistory
Regulatory History (4)
Customer Dispute
July 2016Regulatory
June 1997Customer Dispute
June 1996Customer Dispute
February 1996Other 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
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
RBC Capital Markets Corporation
RBC Capital Markets CorporationBroker
Sutro & CO. IncorporatedBroker
Everen Securities, INC.Broker
Bateman Eichler, Hill Richards, IncorporatedBroker
State Registrations9 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.