Kenneth Chapin
Kenneth Chapin is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in New York, NY, with 43 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
1095 Avenue of the Americas, 3rd & 4th Floors, New York, NY, 10036
Get directionsHistory
Regulatory History (5)
Regulatory
March 2014Regulatory
August 2013Customer Dispute
November 2009Customer Dispute
November 2006Customer Dispute
December 2002Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Kidder, Peabody & CO. IncorporatedBroker
State Registrations30 states
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.