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Stephen Whitfield
37 Years of Experience
Virginia Beach, VA
3 DisclosuresBroker
Stephen Whitfield is a registered investment advisor at Raymond James & Associates, INC., based in Virginia Beach, VA, with 37 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
300 32nd Street, Suites 102 and 520, Virginia Beach, VA, 23451
Get directionsHistory
Regulatory History (3)
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 2008Settled
Customer Dispute
July 2008Withdrawn
Customer Dispute
October 2007Settled
Other Business Activities
Stephen owns Whitfield Rental Property since 2015, where he collects rent and maintains the property. He spends minimal time on this activity.
Employment History
Current Registrations
Raymond James & Associates, INC.
March 2014 - Present · 12 yrs 2 mos
Raymond James & Associates, INC.Broker
March 2014 - Present · 12 yrs 2 mos
Previous Registrations
Wells Fargo Advisors, LLC
June 2002 - March 2014 · 11 yrs 9 mos
Wells Fargo Advisors, LLCBroker
June 2002 - March 2014 · 11 yrs 9 mos
Wachovia Securities, INC.
March 1998 - June 2002 · 4 yrs 3 mos
Wachovia Securities, INC.Broker
November 1997 - June 2002 · 4 yrs 7 mos
Wheat, First Securities, INC.Broker
March 1989 - November 1997 · 8 yrs 8 mos
F.N. Wolf & CO., INC.Broker
July 1988 - November 1988 · 4 mos
State Registrations27 states
ALAZCACOCTDCFLGAINKSLAMAMDMONCNJNYOHORPASCTNTXUTVAWIWY
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.