Adam Saul Frankfort

Stifel, Nicolaus & Company, Incorporated

41 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement Planning

Stifel, Nicolaus & Company, Incorporated

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Firm Size

3314 advisors

Number of Clients

222,322 clients

Average Client Portfolio

$770K average

Assets Under Management

$171.2B

Fee Structure

Minimum Investment:None

Financial Planning:Investment management only

Location

1095 Avenue of the Americas, 3rd & 4th Floors, New York, NY, 10036

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History

Regulatory History (2)

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

August 2018

Settled

Customer Dispute

May 2017

Denied

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Stifel, Nicolaus & Company, Incorporated

March 2023 - Present · 2 yrs 11 mos

Stifel, Nicolaus & Company, Incorporated

February 2023 - Present · 3 yrs

Stifel, Nicolaus & Company, IncorporatedBroker

February 2023 - Present · 3 yrs

Previous Registrations

Stifel, Nicolaus & Company, Incorporated

February 2023 - February 2023 · 0 mos

Raymond James & Associates, INC.

June 2021 - March 2023 · 1 yr 9 mos

Raymond James & Associates, INC.Broker

September 2016 - March 2023 · 6 yrs 6 mos

Deutsche Bank Securities INC.Broker

June 2009 - September 2016 · 7 yrs 3 mos

RBC Capital Markets Corporation

November 2005 - June 2009 · 3 yrs 7 mos

RBC Capital Markets CorporationBroker

November 2002 - June 2009 · 6 yrs 7 mos

C.E. Unterberg, Towbin (a California Limited Partnership)Broker

October 1999 - November 2002 · 3 yrs 1 mo

Everen Securities, INC.Broker

February 1993 - October 1999 · 6 yrs 8 mos

Bear, Stearns & CO. INC.Broker

August 1989 - February 1993 · 3 yrs 6 mos

Painewebber IncorporatedBroker

January 1987 - August 1989 · 2 yrs 7 mos

Rooney, Pace INC.Broker

October 1985 - February 1987 · 1 yr 4 mos

Laidlaw Adams & Peck INC.Broker

April 1985 - October 1985 · 6 mos

Cralin & CO., INC.Broker

August 1984 - March 1985 · 7 mos

State Registrations29 states

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.