Stifel, Nicolaus & Company, Inc
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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
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 11 years of experience.
Stifel Nicolaus & Co Inc
Joseph Rotta has no disclosures.
Please visit their SEC profile for more details.
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