Stifel Client Commitment
Stifel is committed to providing the exceptional service, products, and guidance that fosters our clients' complete satisfaction.
We pledge to...
Build long-lasting, personal relationships
Provide comprehensive products and services
Offer personal guidance and investment strategies
Support our clients with necessary communication
At Stifel, we continuously strive to deliver a consistent, positive experience for each and every client.
Treatment that is fair, ethical, and respectful.
A knowledgeable and responsible Financial Advisor to assist you in pursuing a sound financial future.
Competent and courteous service and guidance at a fair and competitive price.
A choice of how you pay for your investment guidance: per transaction, or a fee based upon the assets in your account.
A choice of how to access our services, whether in person, by phone, or online.
Full, Clear Reporting:
We will disclose all pertinent information with clear, accurate, and easy-to-understand descriptions. This includes all facts and conditions of account transactions, all costs, commissions, and fees associated with your investments.
We will protect the confidentiality of all of your personal and financial data, and we will only disclose this information with your written permission, or as required by law.
We employ a clearly defined process for raising any concerns or issues and resolving these matters quickly and satisfactorily.
We will work to help you identify your financial goals and determine your risk tolerance. This information is used to construct a portfolio based on your time horizons.
You will be presented with a reasonable number of investment alternatives designed to work toward your goals, and we will disclose the comparative risks, benefits, and costs.
We continually assess the many products available to deliver "best-of-breed" alternatives. Our due diligence process remains stringent and comprehensive for all products
We fully disclose all risks, costs, and any vested interests Stifel may have concerning your holdings.
Your Responsibilities as an Individual Investor
Take the time to inform and educate yourself. Read all sales literature, prospectuses, and other offering documents, when available, before making any investments.
Carefully consider all investment risks, fees, and/or other factors explained in these documents.
Make certain that you understand the relationship between your investment objectives and the risks and returns on your particular investments.
Make use of all our resources including our website and our online account access.
Ask questions if there is anything you do not understand.
At Stifel, we encourage you to ...
Communicate with your Financial Advisor
Provide accurate information about your financial status (including any holdings outside of your Stifel account(s)), investment goals, and risk tolerance when seeking investment guidance so that we can provide you with appropriate recommendations
Notify your Financial Advisor promptly whenever there is a change in your investment objectives, risk tolerance, income, net worth, or liquidity needs.
Review your portfolio holdings and objectives on a regular basis. If your financial circumstances change, you may need to make appropriate adjustments.
If you have any holdings in mutual funds of similar fund families outside of your Stifel account(s), please disclose this to your Financial Advisor.
... use the right resources
Consult an attorney, accountant, or a tax adviser for specific tax or legal advice.
Consider carefully the validity and reliability of investment information obtained from all sources, especially unsolicited information obtained over the Internet.
Understand that the opinions of securities analysts and Financial Advisors should never be interpreted as a guarantee of future performance or rate of return.
Keeping an open and honest dialogue with us will help create a positive Stifel experience. If we meet those expectations, please tell others. If we do not, please tell us.