David Lee
David Lee is a CFP-designated registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in San Diego, CA, with 39 years of industry experience. David 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
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
Location
16870 West Bernardo Drive, Suite 150, San Diego, CA, 92127
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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 →Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
A. G. Edwards & Sons, INC.Broker
A. G. Edwards & Sons, INC.
Morgan Stanley
Morgan Stanley Dw INC.Broker
Painewebber IncorporatedBroker
Gaf Financial and Insurance ServicesBroker
Pamco Securities and Insurance ServicesBroker
John Hancock Distributors, INC.Broker
State Registrations15 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.
Exams
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