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Stephen Pincin

Raymond James Financial Services Advisors, INC
32 Years of Experience
Brea, CA
2 DisclosuresBroker
View SEC Summary
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Stephen Pincin is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Brea, CA, with 32 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

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

Location

One Pointe Drive, Brea, CA, 92821

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History

Regulatory History (2)
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.
Employment Separation After Allegations
September 2002
Customer Dispute
June 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen is the owner of Legacy Wealth Management, LLC, but spends minimal time on it as it's a DBA. He also owns SMP Group, Inc., where he builds, sells, and manages his personal real estate holdings, dedicating a few hours per week.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
June 2016 - Present · 10 yrs 4 mos
Raymond James Financial Services, INC.Broker
May 2016 - Present · 10 yrs 5 mos
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
December 2008 - June 2016 · 7 yrs 6 mos
Wells Fargo Advisors Financial Network, LLCBroker
December 2008 - June 2016 · 7 yrs 6 mos
Wachovia Securities, LLCBroker
October 2002 - December 2008 · 6 yrs 2 mos
Wachovia Securities, LLC
October 2002 - December 2008 · 6 yrs 2 mos
UBS Painewebber INC.
September 1998 - October 2002 · 4 yrs 1 mo
UBS Painewebber INC.Broker
August 1998 - October 2002 · 4 yrs 2 mos
Smith Barney INC.Broker
September 1994 - August 1998 · 3 yrs 11 mos
State Registrations16 states
AZCACOFLIDMONVNYOKORTNTXUTVAWAWI
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.
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