New London, NH Office
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STIFEL
Institution
Firm-wide stats for STIFEL
About
Stifel serves a broad range of clients—individuals (including high net worth and non-HNW clients), institutional clients such as pension and profit-sharing plans, charitable organizations, and state and municipal entities—and provides both brokerage and investment advisory services, including fee-based financial planning, wrap programs, and recommendations of third‑party advisers. The firm’s fee‑based plans are typically episodic, delivered by Financial Advisors or the Wealth Planning Department, and do not automatically include implementation or ongoing monitoring unless a client engages Stifel for execution.
The firm’s investment analysis and allocation guidance are built on a proprietary methodology developed by its Investment Strategy Group (Stifel IS), which uses forward‑looking capital market assumptions and probabilistic modeling to produce asset allocation, retirement, insurance, and estate planning analyses. Plans and model allocations are intended as a basis for client decisions rather than guarantees; clients generally retain discretion over implementation and may be asked to supply outside account information that Stifel does not independently verify.
Compared with many large institutional peers, Stifel’s brochure emphasizes several activities and affiliations that are less common: the firm provides services to private funds and pooled vehicles and has been involved in municipal placement and related municipal‑market activity (including regulatory matters addressed in recent SEC and FINRA settlements). It also operates alongside affiliated trust companies and banks that offer pledged‑asset/credit line facilities that can use advisory assets as collateral, and notes that some of its management persons are licensed to practice law (without providing legal services to advisory clients). The firm’s disclosures also describe substantial recent regulatory enforcement, including an SEC order related to electronic communications that resulted in undertakings and a monetary penalty.
Based on STIFEL
Location
276 Newport Road, Suite 104
New London NH 03257
Advisors at this office
4
Advisors at this office
Philip E
Series 63, Series 66
New London, NH
STIFEL
Philip Estabrook III is a financial advisor with Stifel, holding Series 63 and Series 66 credentials and possessing 51 years of industry experience. He has been with Stifel Nicolaus & Co Inc since 2008, following a decade at A.G. Edwards & Sons, Inc. Estabrook serves on the boards of the Newport Library Arts Center and the Newport Charitable Fund, providing guidance on investment and charitable giving. Stifel serves a broad client base, including individuals, institutional clients, and charitable organizations, offering brokerage and investment advisory services supported by proprietary investment analysis and asset allocation methodologies developed by its Investment Strategy Group.
Timothy S
Series 63, Series 66
New London, NH
STIFEL
Timothy Sumner is a financial advisor at Stifel with 22 years of industry experience. His background includes roles at Lloyds Securities, CTR Capital, Infinex Investments, and Ledyard National Bank. He holds Series 63 and Series 66 licenses. Stifel serves a wide range of clients including individuals, institutional investors, and charitable organizations, offering brokerage and investment advisory services supported by proprietary methodologies from its Investment Strategy Group.
Mark H
Series 63, Series 66
New London, NH
STIFEL
Mark Hammond is a financial advisor at Stifel with 25 years of industry experience. He holds Series 63 and Series 66 licenses and has been with Stifel Nicolaus since 2009. Mark is a member of the Rotary Club of New London, where he serves on the Scholarship Committee and assists with digitizing the scholarship process. Stifel serves a diverse client base including individual, institutional, and charitable organizations, offering brokerage and advisory services with a proprietary investment methodology developed by its Investment Strategy Group.
Gregory K
Series 65, Series 66
New London, NH
STIFEL
Gregory Kerr is a financial advisor at Stifel with 19 years of industry experience. He holds Series 65 and Series 66 licenses and has been with Stifel Nicolaus & Co., Inc. since 2008, following a year at Banc of America Investment Services, Inc. Outside of his advisory role, he serves as president of the Hopkinton Youth Sports Association, overseeing youth sports programs in Hopkinton, New Hampshire. Stifel serves a diverse client base including individuals, institutional clients, and charitable organizations, offering brokerage and investment advisory services supported by a proprietary investment methodology developed by its Investment Strategy Group.
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