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 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

Series 63, Certified Financial Planner

Years of Experience

26 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 26 years of experience.

2009 - Present (10 years)

Stifel Nicolaus & Co Inc

2008 - 2009 (1 year)

Wachovia Securities, LLC

2008 - 2009 (1 year)

Wachovia Securities, LLC

1992 - 2009 (17 years)

A. G. Edwards & Sons, Inc

Disclosures

Joseph Rotta has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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