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Stephen Harrison

Exeter Financial, LLC
33 Years of Experience
Scottsdale, AZ
1 Disclosure
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Stephen Harrison is a registered investment advisor at Exeter Financial, LLC, based in Scottsdale, AZ, with 33 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 88 clients with $420M in assets under management.

Exeter Financial, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5 advisors
Number of Clients
88 clients
Average Client Portfolio
$4.8M average
Assets Under Management
$420.2M

Fee Structure

Minimum Investment:$1M
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.25%

Maximum annual fee is 1.25%. Fees are negotiable and account minimums or fee rates may be reduced at Alkeme Wealth's discretion.

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

Location

7001 N. Scottsdale Road, Suite 1040, Scottsdale, AZ, 85253-3644

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History

Regulatory History (1)
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 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen is a managing member/consultant at H2Global LLC, a business consulting firm, spending minimal time. He is also the co-founder/CEO of Zipsit, Inc., a technology company, dedicating a few hours per week. Stephen also manages his son's soccer team.

Employment History
Current Registrations
Exeter Financial, LLC
April 2007 - Present · 19 yrs 6 mos
Previous Registrations
Bma Securities, LLCBroker
February 2008 - December 2016 · 8 yrs 10 mos
The Shemano Group, INC.Broker
May 2007 - February 2008 · 9 mos
Ogilvie Security Advisors CorporationBroker
October 2006 - May 2007 · 7 mos
Ogilvie Security Advisors CORP
October 2006 - May 2007 · 7 mos
Fbr Investment Management, INC.
May 2005 - October 2006 · 1 yr 5 mos
Friedman, Billings, Ramsey & CO., INC.Broker
April 2005 - October 2006 · 1 yr 6 mos
Banc of America Investment Services, INC.
October 2003 - March 2005 · 1 yr 5 mos
Banc of America Investment Services, INC.Broker
October 2003 - March 2005 · 1 yr 5 mos
Northern Trust Bank Fsb
January 2001 - October 2003 · 2 yrs 9 mos
Northern Trust Securities, INC.Broker
June 2000 - September 2003 · 3 yrs 3 mos
Lockwood Financial Services, INC.Broker
July 1997 - December 1999 · 2 yrs 5 mos
Key Investments INC.Broker
July 1995 - July 1997 · 2 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1993 - March 1995 · 1 yr 11 mos
Everen Securities, INC.Broker
July 1992 - May 1993 · 10 mos
State Registrations1 state
AZ
Advisor

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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