Dale Herndon
Dale Herndon is a registered investment advisor at Stifel Independent Advisors, LLC, based in Holmes Beach, FL, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 7,902 clients with $5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Stifel Independent Advisors offers investment management through various programs. Fees are generally based on a percentage of assets, but can be a fixed dollar amount. The Stifel Vantage Program charges transaction-based commissions. The Stifel Summit Program charges up to 1.00% of the total value of investments under management. Fees are negotiable.
Location
Holmes Beach, FL
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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
Dale is the owner of Herndon Wealth Management LLC and also serves as a trustee for their 401K plan. Both activities are investment-related and take up a full-time commitment.
Employment History
Current Registrations
Stifel Independent Advisors, LLCBroker
Stifel Independent Advisors, LLC
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Pruco Securities CorporationBroker
State Registrations11 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.