Palm Desert, CA Highway 111 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
74245 Highway 111, Suite 200
Palm Desert CA 92260
Advisors at this office
4
Advisors at this office
Michael L
Series 63, Series 65
Palm Desert, CA
STIFEL
Michael Landau is a financial advisor with Stifel who holds Series 63 and Series 65 licenses and has 58 years of industry experience. He has worked at Stifel Nicolaus & Co Inc since 2012, following prior roles at Wells Fargo Clearing and A. G. Edwards & Sons, Inc. Outside of his advisory work, he is involved in managing a rental property in La Quinta, California. 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.
William L
Series 63, Series 65
Palm Desert, CA
STIFEL
William Lacy is a financial advisor with Stifel in Palm Desert, CA, holding Series 63 and Series 65 licenses and bringing 41 years of industry experience. He has been with Stifel Nicolaus & Co Inc since 2010. Outside of his advisory role, he co-owns and serves as a corporate officer of Mary Beth Lacy Inc., a public relations firm. 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.
Harmony B
Series 66
Palm Desert, CA
STIFEL
Harmony Bozes Sherlock is a financial advisor at Stifel with 9 years of industry experience and holds the Series 66 designation. She has been with Stifel Nicolaus & Co., Inc. since 2010, totaling 16 years at the firm. Stifel serves a diverse client base including individuals, institutions, and municipal entities, offering brokerage and investment advisory services. Its investment guidance is based on a proprietary methodology developed by its Investment Strategy Group, which uses forward-looking assumptions and modeling to inform asset allocation and planning analyses.
Garth Y
CFP®, Series 63, Series 65
Palm Desert, CA
STIFEL
Garth Young is a CFP®-certified financial advisor with 28 years of industry experience. He has worked at Stifel Nicolaus & Co., Inc. since 2014 and has prior experience at Wells Fargo Clearing and Prudential Equity Group, LLC. He is based in Palm Desert, CA. Stifel serves a diverse client base including individuals, institutional clients, and charitable organizations, offering both brokerage and investment advisory services. The firm’s investment approach relies on a proprietary methodology developed by its Investment Strategy Group, providing forward-looking capital market analyses and asset allocation guidance.
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