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CFP

Richard Ward

Stifel, Nicolaus & Company, Incorporated
47 Years of Experience
Irvine, CA
1 DisclosureBroker
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Richard Ward is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Irvine, CA, 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

400 Spectrum Center Drive, Irvine, CA, 92618

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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 1994
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard is involved in numerous philanthropic and community organizations, including serving as a board member for several non-profits and advisory roles. He also authored a self-help book related to retirement and owns a business promoting local philanthropy and authorship.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
May 2012 - Present · 14 yrs 5 mos
Stifel, Nicolaus & Company, Incorporated
May 2012 - Present · 14 yrs 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 1997 - May 2012 · 14 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1979 - May 2012 · 32 yrs 11 mos
Dean Witter Reynolds INC.Broker
April 1979 - July 1979 · 3 mos
State Registrations18 states
AZCACODEFLHIMAMDMONCNJNMNVNYOHTXVAWA
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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