Joseph
Rotta

Stifel, Nicolaus & Company, Inc

CRD#1378437
Investment Advisor
in Carlsbad, CA

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About this Advisor

Joseph Rotta is a certified financial planner who works out of Carlsbad, California, with 10 years of experience as a financial advisor. Rotta currently works for Stifel, Nicolaus & Company, Inc. They have spent their whole time as a financial advisor at Stifel, Nicolaus & Company, Inc. Rotta maintains a Series 63 license, certifying them as a securities agent, and is registered to operate in California and Texas. Stifel, Nicolaus & Company, Inc is an advisory business that has its headquarters in Carlsbad, California. The investment advisory business has offices in 406 locations and a total of 5,746 people on staff. It has $75 billion in total assets between its 216,315 client accounts, placing it among the biggest financial advisory firms in the nation by assets under management. The firm serves 950 charitable organizations. Of its 216,315 client accounts, 35% are held by high-net-worth clients who have at least $1 million in assets. Stifel, Nicolaus & Company, Inc offers a broad array of services, including financial planning services, 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 for financial management vary depending on which service is offered. Fees charged by Stifel, Nicolaus & Company, Inc most likely are comprised of asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Certified Financial Planner

Years of Experience

11 years

Services Offered

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

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Disclosures

No

Office Location

5780 Fleet Street, Suite 250
Carlsbad, CA 92008

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Stifel, Nicolaus & Company, Inc Brokerage Details

Total Assets Under Management

$74,649,055,670

CA Average: $11,469,110,461
Total Number of Employees

5,746

CA Average: 458
Total Number of Accounts

216,315

CA Average: 33,415
Average Account Size

$345,094

CA Average: $343,232

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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 11 years of experience.

2009 - Present (11 years)

Stifel Nicolaus & Co Inc

Disclosures

Joseph Rotta has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Stifel, Nicolaus & Company, Inc

John Thomas
Saint Louis, MO
Michelle Mcgraw
La Crosse, WI
William Humber
Tuscaloosa, AL
Lauren Cantillo
Bourbonnais, IL
Morgan Crutchley
Bluffton, SC
John Ark
Honolulu, HI
Daniel Riley
Pittsburgh, PA
Nicholas Birke
Saint Louis, MO

This content was compiled from the SEC and FINRA.

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