Roxanne Bryant, financial advisor Wenatchee WA
83 score

Roxanne Bryant

CRD Number: 1215522
Current Firm: Stifel, Nicolaus & Company, Incorporated

Roxanne Bryant (CRD# 1215522) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Wenatchee, WA and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel, Nicolaus & Company, Incorporated Wenatchee, WA Sep 2009 - Current 7
Ubs Financial Services Inc. Wenatchee, WA Aug 2006 - Current 10
Piper Jaffray Inc. Wenatchee, WA Dec 1983 - Current 33
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1984
S65 NASAA Investment Advisors Law Examination Oct 1997
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 Roxanne Y. Bryant
Phone Number: 314-342-2000
Firm Website: http://www.stifel.com
Registered State(s):
  • WA
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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