Joseph Dolan, financial advisor Garden City NY

Joseph Dolan

CRD Number: 1941698
Current Firm: Stifel, Nicolaus & Company, Incorporated

Joseph Dolan (CRD# 1941698) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Garden City, NY and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel Nicholaus & Company Inc. Garden City, NY May 2019 - Current 5
Unemployed Garden City, NY Jun 2017 - May 2019 1
Kasina, LLC New York, NY Mar 2012 - Jun 2017 5
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Jan 1993
S63 Uniform Securities State Law Examination Dec 2019
S66 NASAA Uniform Combined State Law Examination Aug 2020
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Joseph J. Dolan
Phone Number: 314-342-2000
Registered State(s):
  • NJ
  • NY
  • TX
By the Numbers
  • Total Assets Under Management
    149,249
    MILLIONS
  • Total Number of Accounts
    348,524
    ACCOUNTS
  • Average Account Value
    $428,231
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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