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Sales And Marketing Assistance

Stifel's marketing department is adept at designing and producing a variety of print materials to meet the needs of our brokers. These materials include advertising pieces, newsletters, statement stuffers as well as general marketing materials. In addition, they support the needs of Stifel's various product and service departments.

Investment Services

This department addresses the needs of individuals and some institutional investors who seek investments managed by registered investment advisors.

  • Mutual Funds - Stifel is active in the mutual fund field, offering guidance to clients in the selection of various Mutual Funds, which are offered only by a prospectus. Professionals help investors choose among the variety of fund families and types of different mutual funds. Stifel's recommended list offers investment executives an attractive selection of quality, well-researched mutual funds on which to confidently focus their sales efforts. Century has dealer agreements with over 90 fund families.

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  • Qualified Plans - Stifel is also actively involved in the creation of qualified retirement accounts for individuals as well as corporations. With Stifel's help, companies create and manage 401-k and other employee benefit savings programs. Stifel also helps individuals reinvest lump sum distributions.

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  • Insurance and Annuities - Technical assistance to Century insurance-licensed investment executives in such areas as life insurance, tax-deferred annuities, and other forms of insurance-related services is provided by the Insurance Department. Stifel represents several companies that have competitive term insurance and fixed and variable annuity rates. Currently, Century has relationships with 25 insurance companies offering both variable and fixed products. Stifel and Century will consider establishing a specific relationship on behalf of a broker, if appropriate, and if the activity to be done so warrants.

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  • Financial Tools and Financial Planning - Each client has unique financial needs and Stifel provides tools and planning services to help your client review those needs and develop financial strategies to complement the client's objectives. Through the Stifel PACT® Program, you have access to a financial tool that will allow you to review the client's tolerance for investment risk and develop a risk profile. A proposed investment allocation can then be prepared in accordance with that risk profile. You can review the clients current holdings and determine whether reallocation should be considered in any particular asset class. Through the Stifel Wealth Strategist Report®, you can provide assistance in evaluating whether your client has an excess or shortfall to various financial goals. Whether you want to review one financial goal, such as retirement, or provide to provide a comprehensive financial plan, the professionals in the Financial Planning Group can help.

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  • Consulting Services - Individuals and fiduciaries who are responsible for large pools of funds have a task of investing those funds with investment managers who will best meet the goals of the family or beneficiaries. To this end, Stifel seeks to assist clients in the development of objectives, allocation of assets, selection of managers, and measurement and evaluation of investment performance. Stifel will work to develop a solution to each client's unique situation.

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  • Advisory Services - Many investors seek fee-based investment advice rather than the traditional transaction and commission oriented accounts. In this department, Stifel offers a selection of professional money manager accounts and other professionally managed investments, which allow the investor to pay an annual fee rather than commissions.

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  • Stifel Managed Assets Program (SMAP) - This traditional packaged manager program allows clients to select managers from a published list and wrap all commission, fund management, and reporting activity for an annual fee, paid quarterly.

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  • Stifel Managed Funds Program (SMFP) - This program allows clients to select from a published list of load and no-load funds, allocate assets within these funds, and utilize the assistance of the investment executive for an annual fee.

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  • Stifel CORE Portfolios - SCORE portfolios are specialized equity portfolios which are constructed with the assistance of our national research correspondent and managed based on specific guidelines determined by the client and investment executives. All trading activity is covered by an annual fee.

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  • Stifel Investor Advisory Program - Clients who trade securities regularly gain the opportunity to self-direct their invetments and pay one annual fee rather than paying commissions on individual trades.

Administrative and Operations Services

Century Securities has an exclusive clearing arrangement with Stifel Nicolaus. This arrangement allows the Century broker to utilize all of the resources and support of the Stifel administrative and operations departments. Specifically, the independent broker has access to the following services.

Administrative Services

  • Marketing and Advertising Assistance - Stifel has an in-house Advertising & Graphics Department. Experienced graphic designers and a production staff work with brokers and home office departments to create brochures, advertisement and other sales literature. All brokers are placed automatically on a mailing list to receive client-approved sales ideas and literature.
  • Technology & Communications - Brokers who choose to use the Century Quote and Information System can access the professionals in Stifel's Information Technology (IT) Department. These experienced people can provide advice on computer and communications equipment.
  • Compliance - The compliance professionals of Century and Stifel are available to offer sales support, answer questions and deal with regulatory issues. Century takes a very balanced approach. Century's goal is to do quality business and help clients build long-term wealth while providing brokers with considerable freedom and latitude.
  • Registrations - Our registration personnel handle a broker's initial registration with Century. Unfortunately, when a registered rep changes broker/dealers, the FINRA and the states view this change as an entirely new registration. Thus, they charge their normal fees even if they have just been paid while the rep was registered with another broker/dealer. Of course, we also handle the renewal of each broker's state registrations each year. Unlike many other firms, Century does not mark-up a broker's registration fees.
  • Continuing Education Requirements - Century advises brokers on how to meet their periodic securities industry continuing education requirements (the firm element as well as the regulatory element).

Operations Services

  • Broker Support - Any issue dealing with operations can be brought to the Broker Support Team professionals at Century. These individuals act as an interface between all Century brokers and Stifel's Operations Department. This enables the broker to focus on more productive matters. These Century professionals can support brokers in other ways as well, such as taking orders from clients when the broker is on vacation.
  • Client Account Features - Stifel's standard account offers "free" check writing privileges. This account also automatically sweeps balances of $500 or more into quality money market funds on a daily basis. Balances of less than $500 sweep on a weekly basis. Clients who desire additional benefits and conveniences can open Prestige and PrestigePlus accounts.
  • Prestige accounts have check writing privileges with no minimum check amount and convenient check expense recording. In addition, Prestige accounts qualify for automatic BillPayment using a touch-tone telephone or PC, a Gold MasterMoney debit card, and travel and insurance benefits. There is no monthly fee for this account and it has a minimum initial deposit of $1,000 in cash.
  • PrestigePlus accounts are entitled to all the benefits listed for Prestige accounts plus daily sweep of all balances and an annual summary statement. In addition, these accounts automatically receive a consolidated statement of all "househeld" accounts, cost basis, a gain and loss summary, and an expense summary. In addition, PrestigePlus accounts qualify for an awards program that offers points to be used toward travel, car rental, and hotel accommodations and Concierge Service offering the privilege of having your own concierge available 24 hours a day, seven days a week. The monthly fee for this account is $5.00 with an initial deposit of $10,000 in any combination of cash or marginable securities.
  • Margin Accounts - Stifel Nicolaus offers all clients the ability to margin qualifying securities. Margin rates are competitive. To help minimize the number of documents requiring a client's signature, our Prestige and PrestigePlus account documents enable clients to sign up for margin without completing a separate form.
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This site is published in the United States for U.S. residents only. The services offered within this site are available exclusively through our U.S. Investment Executives. Century Securities Investment Executives may only conduct business with residents of the state in which they are properly registered. The information on this website is not an offer to sell or a solicitation of an offer to buy, any security, nor shall any such security be offered or sold to any person in any jurisdiction in which such offer, solicitation, purchase or sale may not lawfully be made. Past performance is no guarantee of future results. For more complete information about any of the funds available through Century Securities, including their management fees, sales charges, and other expenses, please order a prospectus from one of our Investment Executives at the branch office nearest you. The prospectus should be read carefully before investing or sending money.

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