Stephen Giauque
Stephen Giauque is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Boca Raton, FL, with 34 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
Firm Size
IM Fee
Assets Under Management
Location
301 Yamato Road, Suite 3160, Boca Raton, FL, 33431
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Stephen is the owner of Owl & Oak Club Investment, an investment club, and dedicates minimal time to it. He also owns Prominent Sire Lines, LLLC, selling updated versions of sire lines charts for horses, dedicating a few hours per week.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Dean Witter Reynolds INC.Broker
Prudential Securities IncorporatedBroker
Oppenheimer & CO., INC.Broker
J. W. Gant & Associates, INC.Broker
State Registrations24 states
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.