Stifel, Nicolaus & Company, Inc
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About this Advisor
Joseph Rotta is a certified financial planner working in Carlsbad, California, who has 26 years of experience as a financial advisor. Rotta is an advisor for Stifel, Nicolaus & Company, Inc. During their career, the advisor has held roles at Wachovia Securities, LLC, A. G. Edwards & Sons, Inc and Stifel Nicolaus & Co Inc. Rotta maintains a Series 63 license, which qualifies them as a securities broker, and is registered to operate in California and Texas. Stifel, Nicolaus & Company, Inc is an advisory company that has its headquarters in Carlsbad, California. The firm has offices in 362 locations and a total of 5,570 employees. It handles $72 billion in assets under management between its 188,394 client accounts, placing it among the largest firms in the United States by assets under management. The firm provides financial advice to 852 charitable organizations. Of its 188,394 client accounts, 24% are associated with high-net-worth individuals who have at least $1 million in investable assets. Stifel, Nicolaus & Company, Inc performs a number of services, including portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services and selection of other advisers. Fees charged by financial advisors usually are based on the type of services provided. Fees charged by Stifel, Nicolaus & Company, Inc can be comprised of some blend of asset-based, fixed and commission-based fees.
Certifications and Registrations
Years of Experience
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Stifel, Nicolaus & Company, Inc Brokerage Details
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Investment Advisory Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
- Pension consulting services
- Selection of other advisers
Joseph Rotta Work History
Joseph has 26 years of experience.
Stifel Nicolaus & Co Inc
Wachovia Securities, LLC
Wachovia Securities, LLC
A. G. Edwards & Sons, Inc
Joseph Rotta has no disclosures.
Please visit their SEC profile for more details.