SJ
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Stephen Jaffe

40 Years of Experience
Boca Raton, FL
8 DisclosuresBroker

Stephen Jaffe is a registered investment advisor at Ameriprise Financial Services, LLC, based in Boca Raton, FL, with 40 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12781 advisors
Number of Clients
1,330,280 clients
Average Client Portfolio
$424K average
Assets Under Management
$564.6B

Fee Structure

Minimum Investment:$2K

Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.

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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
Employment History
Current Registrations
Ameriprise Financial Services, LLC
October 2025 - Present · 7 mos
Ameriprise Financial Services, LLCBroker
October 2025 - Present · 7 mos
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.