Stephen Caruso
Stephen Caruso is a registered investment advisor at Brookwood Investment Group, based in Celebration, FL, with 19 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 3 more. Their firm serves 3,506 clients with $1.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Fees are negotiable and generally range up to 2.50% depending on portfolio size, complexity, and other factors. A technology fee of $60 per account is charged annually unless waived.
Fee Estimator
Location
Celebration, FL
Get directionsHistory
Regulatory History (4)
Customer Dispute
January 2018Customer Dispute
October 2016Employment Separation After Allegations
May 2016Customer Dispute
March 2016Other Business ActivitiesSells Insurance
Stephen is a licensed insurance producer with Brookwood Insurance Group LLC since 2022, selling fixed insurance products. This activity requires about 10-20% of his time.
Employment History
Current Registrations
Brookwood Investment Group
Previous Registrations
Belpointe Asset Management LLC
Ameriprise Financial Services, INC.
Pointe Capital, INC.
Wachovia Securities, LLC
Citicorp Investment Services
State Registrations1 state
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
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