SM
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Stephen Mazzei
38 Years of Experience
Kingston, NY
2 DisclosuresBroker
Stephen Mazzei is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Kingston, NY, with 38 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)
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Customer Dispute
September 2008Settled
Customer Dispute
May 2002Closed-No Action
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
July 2021 - Present · 4 yrs 10 mos
Raymond James Financial Services, INC.Broker
November 2012 - Present · 13 yrs 6 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - November 2012 · 3 yrs 5 mos
Citigroup Global Markets INC.Broker
April 2003 - June 2009 · 6 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1988 - April 2003 · 14 yrs 9 mos
Kopstein, Van Alen & CO., INC.Broker
July 1987 - July 1988 · 1 yr
State Registrations12 states
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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.