David Havens
David Havens is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Winston-Salem, NC, with 29 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
1 West 4th Street, Winston-Salem, NC, 27101
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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 →Other Business Activities
David is the guardian of a relative's estate, managing long-term investments. This activity requires minimal time.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
J.J.B. Hilliard, W.L. Lyons, LLC
J.J.B. Hilliard, W.L. Lyons, LLCBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Scott & Stringfellow, INC.Broker
Scott & Stringfellow, INC.
Scott & Stringfellow, INC.Broker
State Registrations20 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.