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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Carothers is an investment advisor representative with Stifel, Nicolaus & Company, Inc. Paul has been in the industry since 1989. Paul's firm, Stifel, Nicolaus & Company, Inc., is a full-service brokerage and investment banking firm. The firm manages over $149 billion in assets and provides services to individuals, families, businesses, and institutions. Paul has a wide range of experience and qualifications, including licenses in multiple states. Paul's firm provides financial planning, pension consulting, educational seminars, portfolio management for businesses, and portfolio management for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
05/30/2003 - Present
Stifel, Nicolaus & Company, Inc. (FRONTENAC MO)
NY
10/05/1992 - 09/16/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/18/1989 - 10/05/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 12/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/10/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2008
Series 3 - National Commodity Futures Examination
BC
Issued 07/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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