Carroll Klotz is a registered investment advisor at Stifel Independent Advisors, LLC, based in St. Louis, MO, with 28 years of industry experience. Their practice areas include Investment Management. Their firm serves 7,902 clients with $5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Stifel Independent Advisors offers investment management through various programs. Fees are generally based on a percentage of assets, but can be a fixed dollar amount. The Stifel Vantage Program charges transaction-based commissions. The Stifel Summit Program charges up to 1.00% of the total value of investments under management. Fees are negotiable.
Location
501 North Broadway, St. Louis, MO, 63102
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Carroll works as a tax preparer since 1990, dedicating a few hours per week to this activity. This activity is not investment-related.
Employment History
Current Registrations
Stifel Independent Advisors, LLCBroker
Stifel Independent Advisors, LLC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Wayne Hummer Investments L.L.C.
Wintrust Investments LLCBroker
Stofan, Agazzi & Company, INC.Broker
Citicorp Investment Services
Citicorp Investment ServicesBroker
A. G. Edwards & Sons, INC.Broker
Invest Financial CorporationBroker
Terra Securities CorporationBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations13 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.