Adam Morgens is a CFA-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Pasadena, CA, with 21 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
Pasadena, CA
Get directionsHistory
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
Adam serves on the Board of Directors for Union Station Homeless Services, dedicating minimal time per week. He also co-chairs the Investment Committee for the same organization, offering financial advice and guidance a few hours per month.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Barclays Capital INC.
Barclays Capital INC.Broker
Unionbanc Investment Services, LLCBroker
Unionbanc Investment Services, LLC
State Registrations21 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.