Edward Yen
Edward Yen is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Columbus, OH, with 47 years of industry experience. Edward 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
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
Location
4449 Easton Way, Suite 120, Columbus, OH, 43219
Get directionsHistory
Regulatory History (4)
Employment Separation After Allegations
December 2012Customer Dispute
September 2011Customer Dispute
February 2000Customer Dispute
May 1999Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations23 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.
Exams
More Advisors
- Jody ScheimanStifel, Nicolaus & Company, Incorporated
- Mary GierszStifel, Nicolaus & Company, Incorporated
- Michele Behling, CFPStifel, Nicolaus & Company, Incorporated
- Bradley Roach, ChFCNationwide Investment Advisors, LLC
- Cooper Crawford, CFPJohnson Investment Counsel, INC.
- Regina Ponce, ChFCNationwide Investment Advisors, LLC