Thomas Hall, financial advisor Kent OH
83 score

Thomas Hall

CRD Number: 1138110
Current Firm: Stifel, Nicolaus & Company, Incorporated

Thomas Hall (CRD# 1138110) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Kent, OH and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel, Nicolaus & Company, Incorporated Kent, OH Oct 2010 - Current 6
Wachovia Securities, LLC Kent, OH Jun 2003 - Oct 2010 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1983
S65 NASAA Investment Advisors Law Examination Jun 2011
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Thomas H. Hall
Phone Number: 314-342-2000
Firm Website: http://www.stifel.com
Registered State(s):
  • CA
  • OH
By the Numbers
  • Total Assets Under Management
    38,401
    MILLIONS
  • Total Number of Accounts
    115,441
    ACCOUNTS
  • Average Account Value
    $332,650
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)
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

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BADGES
83

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