SB
CFP
SB
CFP
Stephen Besse
31 Years of Experience
Walnut Creek, CA
1 DisclosureBroker
Stephen Besse is a CFP-designated registered investment advisor at Raymond James & Associates, INC., based in Walnut Creek, CA, with 31 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
2999 Oak Road Suite 1030, Walnut Creek, CA, 94597
Get directionsHistory
Regulatory History (1)
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Customer Dispute
March 1999Denied
Other Business Activities
Stephen is a 25% owner of DEL 13 LLC, a family cabin placed in an LLC for tax and liability purposes. He spends minimal time on this business.
Employment History
Current Registrations
Raymond James & Associates, INC.
May 2014 - Present · 12 yrs
Raymond James & Associates, INC.Broker
May 2014 - Present · 12 yrs
Previous Registrations
Morgan Stanley
June 2009 - May 2014 · 4 yrs 11 mos
Morgan StanleyBroker
June 2009 - May 2014 · 4 yrs 11 mos
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
April 1994 - June 2009 · 15 yrs 2 mos
State Registrations40 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.