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Susan Allan

Stifel Nicolaus

20 Ash Street #400

Conshohocken, PA 19428
(610) 5671966

Fiduciary Financial Advice for your Money

About Stifel Nicolaus

To be known by my clients, friends and associates as a knowledgeable, helpful financial advisor who advises affluent individuals and business owners interested in building, preserving and protecting their wealth through a wise financial plan. I handle my business with the highest regard for my clients interests and always keep their needs first above all else. Regulated by the SEC, we are held to a higher "fiduciary"standard than the normal broker-dealers.

We begin by helping you determine where you are now and where you want to be in the future. The next step is to develop a Financial Plan to help you plan to get to where you want to be. There are a lot of moving parts to this plan: Investing, managing Risk, Insurance, handling debts and credits. We will set attainable goals to help you every step of the way. We will keep you on track to reach your goals as you grow and increase your assets. We will cover all the aspects of Financial Planning, Investing, Taxes and Estate Planning. As a firm, we have the belief that our family is our clients and associates. Our goal is to meet and exceed your expectations. We strive to remain the advisor of choice by understanding your needs and consistently providing quality advice. Our company is staffed with 97 full time Investment services experts, and people who have JD, CPA, CFP, MBA, CIMA, CMFC, CAIA, and AIF designations and certifications.

General Information

Firm Start Year

1902

No.of Employees

1000-1999

CRD#

4247593

Firm CRD#

793

Insurance License#

PA, New York, New Jersey, Delaware

Name of Broker/Dealer

Stifel Nicolaus

States Licensed in

PA, NJ, FL, NY, NC, DE, OH, NV, MN, NH,CT, AK, CA, KY, MA, MI, RI, MD, NV

Years of Experience in Financial Services

19

Number of Years with Current Firm

10

I work with the following types of clients

Non-Profit Organizations, Individual Investors, Businesses

Services

Investment Types

Bonds, Mutual Funds, Stocks, Annuities, Insurance, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)

I can meet clients in the following ways

At my office, Via email, Via phone, At your office, At your home

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

Accredited Asset Management Specialist (AAMS®), Chartered Retirement Plans Specialist (CRPS®), Accredited Asset Management Specialist (AAMS®), Certified in Long-Term Care (CLTC), Accredited Wealth Management Advisor(AWMA), Personal Financial Specialist (PFS)

Securities Licenses

Series 66, Series 65, Series 63, Series 7, Series 6

Insurance and Annuity Licenses

Disability, Annuity, Health, Life, Variable Annuity, Long Term Care, Variable Life

Non-Financial Organization Memberships

Kiwanis

Firm Information

Advisor's Number of Clients

250

Advisor's Number of Managed Clients

175

Advisor's Number of Planning Clients

150

Assets Managed by Advisor

$50,000,000

Compensation and Fees

Fee Structure

Fee-Based (Fee and Commissions)

Minimum Portfolio Size for New Managed Accounts

$500,000

Compensation Methods

Based on Assets

Fee % Based on Assets

1.0

Minimum Fee Charged for Managed Accounts

$5000

Minimum Fee Charged for Hourly Planning Accounts

NA

Minimum Fee Charged for Flat Fee Accounts

NA