TrueAdvisor
TrueAdvisor
TJ
TJ

Timothy Johnson

Stifel, Nicolaus & Company, Incorporated
46 Years of Experience
East Harwich, MA
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Timothy Johnson is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in East Harwich, MA, with 46 years of industry experience. Timothy 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

Firefly Professional Bldg., 105 Route 137, Unit A, East Harwich, MA, 02645

Get directions

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.
Regulatory
December 2018
Final
Customer Dispute
June 2003
Closed-No Action
Customer Dispute
April 1998
Settled
Customer Dispute
January 1987
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
October 2012 - Present · 14 yrs
Stifel, Nicolaus & Company, IncorporatedBroker
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
Wachovia Securities, LLCBroker
January 2008 - March 2009 · 1 yr 2 mos
A. G. Edwards & Sons, INC.Broker
June 1987 - January 2008 · 20 yrs 7 mos
Thomson Mckinnon Securities INC.Broker
November 1979 - June 1987 · 7 yrs 7 mos
State Registrations27 states
ALAZCACTDCFLGAINMAMDMEMINCNHNJNVNYORPARISCTXUTVAVTWAWI
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.
More Advisors
More financial advisors in East Harwich, MA →All financial advisors in Massachusetts →