SW
SW
Stephen Whatley
32 Years of Experience
Hot Springs, AR
2 DisclosuresBroker
Stephen Whatley is a registered investment advisor at Wells Fargo Advisors, based in Hot Springs, AR, with 32 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
1801 Central Ave, F, Hot Springs, AR, 71901
Get directionsHistory
Regulatory History (2)
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Customer Dispute
May 2022Denied
Customer Dispute
June 1999Pending
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
October 2022 - Present · 3 yrs 9 mos
Wells Fargo Advisors
October 2022 - Present · 3 yrs 9 mos
State Registrations39 states
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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.