Steven Duffy is a registered investment advisor at Edward Jones, based in Santa Clara, CA, with 33 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Retirement Planning, Tax Planning. Their firm serves 3,743,795 clients with $820B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Edward Jones offers an Ongoing Financial Planning Service for a maximum fee of $3,600 per year. This includes a financial plan and periodic updates, generally at least once per year, based on consultations with your financial advisor. You can discuss and revise your plan as needed. The fee may be paid in quarterly installments. To be eligible, you must have at least $250,000 enrolled in one or more Edward Jones Advisory Programs.
Edward Jones offers a Point in Time Financial Planning Service for which they do not currently charge a separate fee, but reserve the right to do so in the future. This service includes consultations with your financial advisor who will analyze your situation and provide a personalized financial plan.
Location
1995 El Camino Real Suite 302, Santa Clara, CA, 95050
Get directionsHistory
Regulatory History (4)
Customer Dispute
September 2014Customer Dispute
March 2008Customer Dispute
June 2003Criminal
December 1997Other Business Activities
Steven is a lay pension boardmember, investment committee member, and finance council member for the Diocese of San Jose. These activities require minimal time commitment and are not investment-related.
Employment History
Current Registrations
Edward Jones
Edward JonesBroker
State Registrations25 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.