SF
SF
Stephen Falzone
31 Years of Experience
Wyandotte, MI
1 DisclosureBroker
Stephen Falzone is a registered investment advisor at Raymond James & Associates, INC., based in Wyandotte, MI, 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
Loading...
Location
3003 Biddle Avenue, Wyandotte, MI, 48192
Get directionsHistory
Regulatory History (1)
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.
Regulatory
May 2015Final
Employment History
Current Registrations
Raymond James & Associates, INC.
August 2010 - Present · 15 yrs 9 mos
Raymond James & Associates, INC.
August 2010 - Present · 15 yrs 9 mos
Raymond James & Associates, INC.Broker
August 2010 - Present · 15 yrs 9 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - September 2010 · 1 yr 3 mos
Morgan Stanley Smith BarneyBroker
June 2009 - September 2010 · 1 yr 3 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
February 2004 - April 2007 · 3 yrs 2 mos
Morgan Stanley Dw INC.Broker
February 2004 - April 2007 · 3 yrs 2 mos
Merrill Lynch Pierce Fenner & Smith INC.
October 1999 - March 2004 · 4 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1994 - March 2004 · 9 yrs 4 mos
State Registrations8 states
AZFLMAMIMOOHTXWA
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.