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Neil Hattem

Stifel, Nicolaus & Company, Incorporated
47 Years of Experience
Los Angeles, CA
3 DisclosuresBroker
View SEC Summary
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Neil Hattem is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Los Angeles, CA, with 47 years of industry experience. Neil 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.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2121 Avenue of the Stars (Fox Plaza), Suite 2100 & 2150, Los Angeles, CA, 90067

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2007
Denied
Regulatory
July 1985
Final
Customer Dispute
July 1985
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
July 2012 - Present · 14 yrs 3 mos
Stifel, Nicolaus & Company, IncorporatedBroker
July 2012 - Present · 14 yrs 3 mos
Stifel, Nicolaus & Company, Incorporated
July 2012 - Present · 14 yrs 3 mos
Previous Registrations
Southwest Securities, INC.
December 2008 - August 2012 · 3 yrs 8 mos
Southwest Securities, INC.Broker
December 2008 - August 2012 · 3 yrs 8 mos
M. L. Stern & CO, LLC.
January 2004 - December 2008 · 4 yrs 11 mos
M.L. Stern & CO., LLC.Broker
September 1980 - December 2008 · 28 yrs 3 mos
California Municipal Investors, INC.Broker
February 1979 - October 1980 · 1 yr 8 mos
State Registrations19 states
AZCACOFLHIILINMDNJNVNYOKORRISCTNTXVAWA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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