Derek Downing
Derek Downing is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Hauppauge, NY, with 12 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
100 Motor Parkway, 2nd Floor, Hauppauge, NY, 11788
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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
Derek is involved in the private sale of consumer goods, dedicating a few hours per week. He also serves on the board and as treasurer for the St. James Smithtown Little League, spending minimal time on these roles.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
First Empire Asset Management, INC
First Empire Securities, INC.Broker
State Registrations51 states
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