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David Altman

Stifel, Nicolaus & Company, Incorporated
38 Years of Experience
Redlands, CA
1 DisclosureBroker
View SEC Summary
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David Altman is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Redlands, CA, with 38 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.

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

31 W. Stuart Avenue, Suite 200, Redlands, CA, 92374

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History

Regulatory History (1)
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.
Customer Dispute
June 2004
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
January 2016 - Present · 10 yrs 9 mos
Stifel, Nicolaus & Company, Incorporated
January 2016 - Present · 10 yrs 9 mos
Previous Registrations
Morgan Stanley
June 2009 - January 2016 · 6 yrs 7 mos
Morgan StanleyBroker
June 2009 - January 2016 · 6 yrs 7 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
November 1998 - April 2007 · 8 yrs 5 mos
Morgan Stanley Dw INC.Broker
October 1988 - April 2007 · 18 yrs 6 mos
State Registrations16 states
ARAZCACOFLINKSMTNCNVOKORTXUTWAWY
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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