Richard Griffler
Richard Griffler is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Wilmington, NC, with 47 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
2005 Eastwood Road, Suite 102, Wilmington, NC, 28403
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2002Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Shearson Loeb Rhoades INC.Broker
Thomson Mckinnon Securities INC.Broker
H. C. Copeland and Associates Equities, INC.Broker
State Registrations10 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.