Neil Hattem
Neil Hattem is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Los Angeles, CA, with 47 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
2121 Avenue of the Stars (Fox Plaza), Suite 2100 & 2150, Los Angeles, CA, 90067
Get directionsHistory
Regulatory History (3)
Customer Dispute
July 2007Regulatory
July 1985Customer Dispute
July 1985Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Southwest Securities, INC.
Southwest Securities, INC.Broker
M. L. Stern & CO, LLC.
M.L. Stern & CO., LLC.Broker
California Municipal Investors, INC.Broker
State Registrations19 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.