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CFP
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CFP

Stephen Mar

D.A. Davidson & CO.
42 Years of Experience
Fresno, CA
5 DisclosuresBroker
View SEC Summary
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Stephen Mar is a CFP-designated registered investment advisor at D.A. Davidson & CO., based in Fresno, CA, with 42 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 70,118 clients with $42B in assets under management.

D.A. Davidson & CO.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
695 advisors
IM Fee
Planning only
Assets Under Management
$41.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
  • Financial planning services — generally ranges from $1,500 to $15,000 or more depending on the complexity of the client's financial circumstances and local market considerations.
One-Time Plan:$1,500 - $15,000
View Full SEC Brochure

Location

7110 N. Fresno St., Suite 450, Fresno, CA, 93720

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History

Regulatory History (5)
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.
Employment Separation After Allegations
October 2010
Customer Dispute
January 2003
Denied
Customer Dispute
November 2001
Denied
Customer Dispute
October 2001
Settled
Customer Dispute
May 2001
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
D.A. Davidson & CO.Broker
November 2013 - Present · 12 yrs 11 mos
D.A. Davidson & CO.
November 2013 - Present · 12 yrs 11 mos
Previous Registrations
Crowell Weedon & CO.Broker
November 2013 - November 2013 · 0 mos
Crowell Weedon & CO.
November 2013 - November 2013 · 0 mos
Crowell, Weedon & CO.Broker
October 2010 - November 2013 · 3 yrs 1 mo
Crowell, Weedon & CO.
October 2010 - November 2013 · 3 yrs 1 mo
Wells Fargo Advisors, LLC
July 2003 - November 2010 · 7 yrs 4 mos
Wells Fargo Advisors, LLCBroker
July 2003 - November 2010 · 7 yrs 4 mos
Prudential Securities Incorporated
May 2001 - July 2003 · 2 yrs 2 mos
Prudential Securities IncorporatedBroker
May 2001 - July 2003 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
August 1984 - May 2001 · 16 yrs 9 mos
State Registrations12 states
AZCAFLGAIDMDNMORPASCTXVA
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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