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Richard Griffler

Stifel, Nicolaus & Company, Incorporated
47 Years of Experience
Wilmington, NC
1 DisclosureBroker
View SEC Summary
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Richard Griffler is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Wilmington, NC, with 47 years of industry experience. Richard 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

2005 Eastwood Road, Suite 102, Wilmington, NC, 28403

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History

Regulatory History (1)
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
April 2002
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
February 2009 - Present · 17 yrs 8 mos
Stifel, Nicolaus & Company, Incorporated
February 2009 - Present · 17 yrs 8 mos
Stifel, Nicolaus & Company, IncorporatedBroker
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
UBS Financial Services INC.
October 2008 - March 2009 · 5 mos
UBS Financial Services INC.Broker
July 2004 - March 2009 · 4 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1982 - July 2004 · 22 yrs 1 mo
Shearson Loeb Rhoades INC.Broker
September 1980 - June 1982 · 1 yr 9 mos
Thomson Mckinnon Securities INC.Broker
August 1979 - September 1980 · 1 yr 1 mo
H. C. Copeland and Associates Equities, INC.Broker
November 1978 - August 1979 · 9 mos
State Registrations10 states
AZCACTFLMANCNJNYPARI
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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