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Henry Otten

Stifel, Nicolaus & Company, Incorporated
43 Years of Experience
Brookfield, WI
4 DisclosuresBroker
View SEC Summary
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Henry Otten is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Brookfield, WI, with 43 years of industry experience. Henry 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

18000 West Sarah Lane Suite 180, Brookfield, WI, 53045

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History

Regulatory History (4)
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.
Employment Separation After Allegations
July 2007
Regulatory
December 1999
Final
Employment Separation After Allegations
July 1999
Customer Dispute
February 1998
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other 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
September 2007 - Present · 19 yrs 1 mo
Stifel, Nicolaus & Company, IncorporatedBroker
August 2007 - Present · 19 yrs 2 mos
Previous Registrations
UBS Financial Services INC.Broker
August 2006 - August 2007 · 1 yr
Piper Jaffray & CO.Broker
September 1999 - August 2006 · 6 yrs 11 mos
Robert W. Baird & CO. IncorporatedBroker
July 1999 - August 1999 · 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1983 - August 1999 · 16 yrs 3 mos
State Registrations14 states
AZCAFLGAILLAMAMDMNOHSDTNTXWI
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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