Henry Otten
Henry Otten is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Brookfield, WI, with 42 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
18000 West Sarah Lane Suite 180, Brookfield, WI, 53045
Get directionsHistory
Regulatory History (4)
Employment Separation After Allegations
July 2007Regulatory
December 1999Employment Separation After Allegations
July 1999Customer Dispute
February 1998Other Business Activities
Henry owns two rental properties, one since 1985 and the other since 2019, dedicating minimal time to each. He is also a trustee for the Knights of Columbus council, supervising their financial business and spending a few hours per week on this activity.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
UBS Financial Services INC.Broker
Piper Jaffray & CO.Broker
Robert W. Baird & CO. IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations14 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.