Stephen Pincin
Stephen Pincin is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Brea, 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 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
One Pointe Drive, Brea, CA, 92821
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
September 2002Customer Dispute
June 2001Other 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
Raymond James Financial Services, INC.Broker
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
Wells Fargo Advisors Financial Network, LLCBroker
Wachovia Securities, LLCBroker
Wachovia Securities, LLC
UBS Painewebber INC.
UBS Painewebber INC.Broker
Smith Barney INC.Broker
State Registrations16 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.