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Stephen Jaffe

Ameriprise Financial Services, LLC
41 Years of Experience
Boca Raton, FL
8 DisclosuresBroker
View SEC Summary
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Stephen Jaffe is a registered investment advisor at Ameriprise Financial Services, LLC, based in Boca Raton, FL, with 41 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, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

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

Location

5200 Town Center Cir Ste 600, Boca Raton, FL, 33486-1045

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History

Regulatory History (8)
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
June 2020
Denied
Customer Dispute
March 2020
Denied
Customer Dispute
February 2011
Settled
Customer Dispute
October 2010
Settled
Employment Separation After Allegations
July 2010
Regulatory
June 2010
Final
Employment Separation After Allegations
April 2009
Customer Dispute
September 1997
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
October 2025 - Present · 1 yr
Ameriprise Financial Services, LLCBroker
October 2025 - Present · 1 yr
Previous Registrations
Oppenheimer & CO. INC.
December 2010 - October 2025 · 14 yrs 10 mos
Oppenheimer & CO. INC.Broker
August 2010 - October 2025 · 15 yrs 2 mos
Wells Fargo Advisors, LLC
May 2009 - July 2010 · 1 yr 2 mos
Wells Fargo Advisors, LLCBroker
May 2009 - July 2010 · 1 yr 2 mos
UBS Financial Services INC.
August 2004 - May 2009 · 4 yrs 9 mos
UBS Financial Services INC.Broker
August 2004 - May 2009 · 4 yrs 9 mos
Morgan Stanley
July 1995 - August 2004 · 9 yrs 1 mo
Morgan Stanley Dw INC.Broker
July 1995 - August 2004 · 9 yrs 1 mo
Smith Barney INC.Broker
July 1993 - September 1995 · 2 yrs 2 mos
Lehman Brothers INC.Broker
March 1992 - July 1993 · 1 yr 4 mos
Prudential Securities IncorporatedBroker
February 1988 - March 1992 · 4 yrs 1 mo
Thomson Mckinnon Securities INC.Broker
March 1985 - February 1988 · 2 yrs 11 mos
State Registrations40 states
AKALAZCACOCTDCDEFLGAIDILINKSKYLAMEMIMNMSNCNHNJNVNYOHORPAPRRISCSDTNTXVAVTWAWIWVWY
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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