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Steven Phillips

Benjamin F. Edwards & Company, Incorporated
34 Years of Experience
Birmingham, AL
1 DisclosureBroker
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Steven Phillips is a registered investment advisor at Benjamin F. Edwards & Company, Incorporated, based in Birmingham, AL, with 34 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 33,057 clients with $19B in assets under management.

Benjamin F. Edwards & Company, Incorporated
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
518 advisors
Number of Clients
33,057 clients
Average Client Portfolio
$572K average
Assets Under Management
$18.9B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Minimum Annual Fee:$125
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum total wrap fee is 2.50% annually, combining advisor and manager fees. Specific strategy rates vary, and fees are fully negotiable.

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

Location

Shades Creek Plaza, 850 Shades Creek Parkway, Suite 310, Birmingham, AL, 35209

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History

Regulatory History (1)
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 2015
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Steven has ownership stakes in multiple real estate investment companies and condo ownership, and acts as trustee for three trusts. He also has power of attorney for Betty C. Parker.

Employment History
Current Registrations
Benjamin F. Edwards & Company, INC.Broker
April 2013 - Present · 13 yrs 6 mos
Benjamin F. Edwards & Company, Incorporated
April 2013 - Present · 13 yrs 6 mos
Previous Registrations
Wells Fargo Advisors, LLCBroker
January 2008 - April 2013 · 5 yrs 3 mos
Wells Fargo Advisors, LLC
January 2008 - April 2013 · 5 yrs 3 mos
A. G. Edwards & Sons, INC.
October 1998 - January 2008 · 9 yrs 3 mos
A. G. Edwards & Sons, INC.Broker
June 1994 - January 2008 · 13 yrs 7 mos
Southtrust Securities, INC.Broker
May 1989 - September 1989 · 4 mos
Morgan Keegan & Company, INC.Broker
March 1987 - April 1989 · 2 yrs 1 mo
State Registrations19 states
ALARCAFLGAKYLAMAMDMOMSNCNYOKSCTNTXUTWA
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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