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Stephen Foody

Wells Fargo Advisors
40 Years of Experience
Ponte Vedra Beach, FL
2 DisclosuresBroker
View SEC Summary
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Stephen Foody is a registered investment advisor at Wells Fargo Advisors, based in Ponte Vedra Beach, FL, with 40 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, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

818 Us Highway A1A N, Stes 200 & 206, Ponte Vedra Beach, FL, 32082

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History

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
December 2004
Denied
Criminal
April 1982
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
April 2021 - Present · 5 yrs 7 mos
Wells Fargo Clearing Services, LLCBroker
April 2021 - Present · 5 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2008 - April 2021 · 12 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2008 - April 2021 · 12 yrs 6 mos
Wachovia Securities, LLCBroker
October 2000 - October 2008 · 8 yrs
Wachovia Securities, LLC
October 2000 - October 2008 · 8 yrs
First Union Brokerage Services, INC.Broker
August 1995 - October 2000 · 5 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1993 - August 1995 · 2 yrs 5 mos
Lehman Brothers INC.Broker
August 1992 - March 1993 · 7 mos
A B D Securities CorporationBroker
February 1986 - July 1992 · 6 yrs 5 mos
State Registrations37 states
ALAZCACOCTDEFLGAILINKSKYLAMAMDMEMIMOMSMTNCNENHNJNYOHOKORPASCTNTXUTVAWAWIWY
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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