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Stephen Whitfield

Raymond James & Associates, INC.
37 Years of Experience
Virginia Beach, VA
3 DisclosuresBroker
View SEC Summary
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Stephen Whitfield is a registered investment advisor at Raymond James & Associates, INC., based in Virginia Beach, VA, with 37 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 Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

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

Location

300 32nd Street, Suites 102 and 520, Virginia Beach, VA, 23451

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History

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 2008
Settled
Customer Dispute
July 2008
Withdrawn
Customer Dispute
October 2007
Settled
View Full SEC ReportHow to Read Disclosures
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 7 mos
Raymond James & Associates, INC.Broker
March 2014 - Present · 12 yrs 7 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 Registrations29 states
ALAZCACOCTDCFLGAILINKSLAMAMDMONCNJNYOHORPARISCTNTXUTVAWIWY
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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