Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Henry? Claim Your ProfileHenry Anthony Otten has been in the financial industry since 1983. Henry Otten is currently registered with Stifel, Nicolaus & Company, Inc. in Brookfield, Wisconsin. Henry Otten has been with Stifel, Nicolaus & Company, Inc. since 2007. Henry Otten's previous employers include UBS FINANCIAL SERVICES INC., PIPER JAFFRAY & CO., ROBERT W. BAIRD & CO. INCORPORATED and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Henry Otten holds the Series 3, 5, 7, 9, 10, 15, 31, 63, 66 and SIE licenses. Henry Anthony Otten is also registered in the following states: Arizona, California, Florida, Georgia, Illinois, Louisiana, Maryland, Massachusetts, Minnesota, Mississippi, North Carolina, Ohio, South Carolina, South Dakota, Tennessee, Texas, Washington and Wisconsin. Henry Anthony Otten specializes in providing financial planning, pension consulting, educational seminars, and selection of other advisors. Henry Otten also provides portfolio management for individuals, businesses, and pooled investment vehicles. Henry Otten is also a property owner in Wauwatosa, Wisconsin and West Bend, Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
WI
09/25/2007 - Present
Stifel, Nicolaus & Company, Inc. (BROOKFIELD WI)
WI
08/12/2006 - 08/16/2007
UBS FINANCIAL SERVICES INC. (DELAFIELD WI)
WI
09/03/1999 - 08/12/2006
PIPER JAFFRAY & CO. (DELAFIELD WI)
WI
07/22/1999 - 08/30/1999
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NY
05/26/1983 - 08/06/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 02/25/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/06/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/02/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 01/20/1992
Series 3 - National Commodity Futures Examination
BC
Issued 12/11/1989
Series 15 - Foreign Currency Options Examination
BC
Issued 11/20/1989
Series 5 - Interest Rate Options Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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