David Weiner
David Weiner is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in White Plains, NY, with 37 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
4 West Red Oak Lane, Suite 101, White Plains, NY, 10604
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
David is a board member and audit committee member for Ladder Capital Corp, a commercial real estate finance company, since 2019. He spends minimal time on these activities.
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Chrome Capital Management, LLC
RBC Capital Markets CorporationBroker
RBC Capital Markets CorporationBroker
Lazard Freres & CO. LLCBroker
Cal Fp (US), INC.Broker
UBS Warburg LLCBroker
Sbc Warburg Dillon Read INC.Broker
Sbc Warburg, INC.Broker
Sbci Swiss Bank Corporation Investment Banking INC.Broker
Sbc Government Securities INCBroker
Deutsche Bank Government Securities, INCBroker
Shearson Lehman Government Securities, INC.Broker
Shearson Lehman Hutton INC.Broker
State Registrations7 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.