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Stephen Hakim
40 Years of Experience
Kingston, NY
2 DisclosuresBroker
Stephen Hakim is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Kingston, NY, with 40 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
254 Fair St, Kingston, NY, 12401
Get directionsHistory
Regulatory History (2)
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
September 2006Denied
Customer Dispute
July 2004Settled
Other Business Activities
Stephen owns rental real estate in Kingston, NY, and his office is located in the building. He also owns Stephen Hakim Asset Management LLC, a support company, but dedicates minimal time to it.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
July 2021 - Present · 5 yrs
Raymond James Financial Services, INC.Broker
January 1999 - Present · 27 yrs 6 mos
Previous Registrations
Robert Thomas Securities, INCBroker
October 1994 - January 1999 · 4 yrs 3 mos
Royal Alliance Associates, INC.Broker
May 1992 - October 1994 · 2 yrs 5 mos
A. G. Edwards & Sons, INC.Broker
December 1990 - May 1992 · 1 yr 5 mos
Prudential-Bache Securities INC.Broker
December 1986 - December 1990 · 4 yrs
Ids Marketing CorporationBroker
November 1985 - December 1986 · 1 yr 1 mo
State Registrations21 states
AZCACOCTDEFLGAINMAMDNCNHNJNYOHORPASCTNTXVA
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.