Larry Watts
Larry Watts is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Stockton, CA, 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
10100 Trinity Parkway, Suite 320, Stockton, CA, 95219
Get directionsHistory
Regulatory History (2)
Customer Dispute
September 2007Customer Dispute
December 1998Other Business Activities
Larry serves on the advisory board for the University of the Pacific Eberhardt School of Business, dedicating minimal time. He also operates a winery under a fictitious business name, with wine production handled by another entity, requiring minimal time for tastings and monitoring progress.
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Smith Barney, Harris Upham & CO., IncorporatedBroker
State Registrations17 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.