Joseph Stephens
Joseph Stephens is a CFP-designated registered investment advisor at Prospera Financial Services, INC., based in New Orleans, LA, with 27 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
3528 Holiday Drive, Suite A, New Orleans, LA, 70114
Get directionsHistory
Regulatory History (3)
Regulatory
February 2010Customer Dispute
October 2009Employment Separation After Allegations
November 2007Other Business Activities
Joseph operates Stephens Financial Services as the owner, dedicating full-time hours to this investment-related activity. He also provides notary services through Stephens Notary Services, spending minimal time on this, and owns J&E Development LLC, a rental property business, also spending minimal time.
Employment History
Current Registrations
Prospera Financial Services, INC.Broker
Prospera Financial Services, INC.
Previous Registrations
Dorsey & Company, INC.Broker
Dorsey & Company INC.
Edward Jones
Edward JonesBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations20 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.