Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neil? Claim Your ProfileNeil Hattem is a registered representative of Stifel, Nicolaus & Company, Inc., located in LOS ANGELES, CA. Neil has been in the securities industry since February 25, 1979. Prior to Stifel, Nicolaus & Company, Inc., Neil was registered with SOUTHWEST SECURITIES, INC. and M.L. STERN & CO., LLC. Neil holds Series 4, 7, 8, 9, 10, 24, 63 and SIE licenses.
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
CA
07/26/2012 - Present
Stifel, Nicolaus & Company, Inc. (LOS ANGELES CA)
CA
12/08/2008 - 08/27/2012
SOUTHWEST SECURITIES, INC. (BEVERLY HILLS CA)
CA
09/03/1980 - 12/15/2008
M.L. STERN & CO., LLC. (AGOURA HILLS CA)
NA
02/26/1979 - 10/03/1980
CALIFORNIA MUNICIPAL INVESTORS, INC.
BC
Issued 05/08/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/27/2009
Series 4 - Registered Options Principal Examination
BC
Issued 04/18/2000
Series 24 - General Securities Principal Examination
BC
Issued 04/11/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/1979
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Neil Hattem is the right advisor for you? Invested Better is here to help.
