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CFP
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CFP

Stephen Hester

Ameriprise Financial Services, LLC
38 Years of Experience
Dayton, OH
11 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Stephen Hester is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Dayton, OH, with 38 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, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

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

Location

7887 Washington Village Dr, Suite 200, Dayton, OH, 45459

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History

Regulatory History (11)
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
March 2010
Denied
Customer Dispute
April 2008
Settled
Regulatory
July 2007
Final
Customer Dispute
January 2006
Settled
Customer Dispute
January 2006
Settled
Customer Dispute
October 2005
Settled
Customer Dispute
November 2004
Settled
Customer Dispute
November 2003
Settled
Customer Dispute
October 2002
Settled
Customer Dispute
April 2002
Denied
Customer Dispute
April 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Stephen owns commercial real estate since 2000 and another business since 2018, dedicating about a quarter of his time to the latter. He also works as an independent insurance broker with Guardian and is involved with Stephen Thomas Hester, Inc.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
October 2003 - Present · 23 yrs
Ameriprise Financial Services, LLC
March 1990 - Present · 36 yrs 7 mos
Ameriprise Financial Services, LLCBroker
March 1990 - Present · 36 yrs 7 mos
Previous Registrations
Ids Life Insurance CompanyBroker
March 1990 - July 2006 · 16 yrs 4 mos
Prudential-Bache Securities INC.Broker
February 1988 - April 1990 · 2 yrs 2 mos
State Registrations28 states
ALARAZCAFLGAHIIDILINKSKYLAMDMNMONCNMOHORPASCTNTXUTVAWAWY
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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