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David Mann

Stifel, Nicolaus & Company, Incorporated
44 Years of Experience
Garden City, NY
3 DisclosuresBroker
View SEC Summary
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David Mann is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Garden City, NY, with 44 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1225 Franklin Avenue, Suite 150, Garden City, NY, 11530

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2002
Denied
Customer Dispute
March 2001
Denied
Customer Dispute
March 1997
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David is involved with Angel Blook, LLC, a screenwriting business, since 2012. He spends a few hours per week on this activity, and it is not investment-related.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
February 2016 - Present · 10 yrs 8 mos
Stifel, Nicolaus & Company, IncorporatedBroker
February 2016 - Present · 10 yrs 8 mos
Previous Registrations
Wells Fargo Advisors, LLC
July 2005 - February 2016 · 10 yrs 7 mos
Wells Fargo Advisors, LLCBroker
July 2005 - February 2016 · 10 yrs 7 mos
UBS Financial Services INC.
January 2004 - July 2005 · 1 yr 6 mos
UBS Financial Services INC.Broker
April 1996 - July 2005 · 9 yrs 3 mos
Prudential Securities IncorporatedBroker
November 1992 - March 1996 · 3 yrs 4 mos
Lehman Brothers INC.Broker
March 1985 - November 1992 · 7 yrs 8 mos
Oppenheimer & CO., INC.Broker
March 1984 - April 1985 · 1 yr 1 mo
E. F. Hutton & Company INCBroker
September 1981 - April 1984 · 2 yrs 7 mos
State Registrations30 states
ARAZCACOCTDCDEFLGAILMAMDMEMIMNMONCNENHNJNVNYOHPASCTXVAVTWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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