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AC
AC
Aaron B Capan
Stifel, Nicolaus & Company, Incorporated
20 Years of Experience
1 Disclosure
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Retirement Planning
Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-Based
Fee-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
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Location
2121 Avenue of the Stars (Fox Plaza), Suite 2100 & 2150, Los Angeles, CA, 90067
Get directions
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
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Customer Dispute
May 2008
Denied
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
May 2023 - Present · 2 yrs 9 mos
Stifel, Nicolaus & Company, Incorporated
Broker
May 2023 - Present · 2 yrs 9 mos
Stifel, Nicolaus & Company, Incorporated
May 2023 - Present · 2 yrs 9 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
Broker
February 2008 - June 2023 · 15 yrs 4 mos
Wells Fargo Clearing Services, LLC
February 2008 - June 2023 · 15 yrs 4 mos
Morgan Stanley & CO., Incorporated
April 2007 - February 2008 · 10 mos
Morgan Stanley & CO., Incorporated
Broker
April 2007 - February 2008 · 10 mos
Morgan Stanley
May 2005 - April 2007 · 1 yr 11 mos
Morgan Stanley Dw INC.
Broker
April 2005 - April 2007 · 2 yrs
State Registrations
30 states
AK
AR
AZ
CA
CO
FL
GA
HI
IA
IL
LA
MA
MD
MI
MN
MO
NC
NJ
NV
NY
OH
OR
PA
SC
TN
TX
UT
VA
WA
WI
Advisor
Broker
Both
Exams
No exam information available for this advisor.