Harvey Frank
Harvey Frank is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in San Diego, CA, with 35 years of industry experience. Harvey 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
Get directionsHistory
Regulatory History (1)
Regulatory
December 2019Other Business Activities
Harvey holds a current real estate license but does not conduct any real estate business.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Hilltop Securities INC.
Hilltop Securities INC.Broker
M. L. Stern & CO, LLC.
M.L. Stern & CO., LLC.Broker
State Registrations26 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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