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Stephanie Mitzel

St. Bernard Financial Services, INC.
24 Years of Experience
Phoenix, AZ
1 DisclosureBroker
View SEC Summary
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Stephanie Mitzel is a registered investment advisor at St. Bernard Financial Services, INC., based in Phoenix, AZ, with 24 years of industry experience. Stephanie is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 798 clients with $140M in assets under management.

St. Bernard Financial Services, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
42 advisors
Number of Clients
798 clients
Average Client Portfolio
$171K average
Assets Under Management
$136.2M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $50K2.00%
$50K - $100K1.75%
$100K - $250K1.50%
$250K - $500K1.25%
$500K - $5.0M1.00%
$5M+1.00%

Fees for accounts over $5 million are negotiable. Clients may alternatively choose a flat fee to be negotiated.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Phoenix, AZ

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History

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.
Customer Dispute
March 2011
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
St. Bernard Financial Services, INC.
September 2019 - Present · 7 yrs 1 mo
St. Bernard Financial Services, INC.Broker
August 2019 - Present · 7 yrs 2 mos
St. Bernard Financial Services, INC.
August 2019 - Present · 7 yrs 2 mos
Previous Registrations
First Allied Advisory Services, INC.
June 2014 - May 2019 · 4 yrs 11 mos
First Allied Securities, INC.Broker
June 2014 - May 2019 · 4 yrs 11 mos
Rg Advisor Group
October 2012 - June 2015 · 2 yrs 8 mos
Capital Investment Group, INC.Broker
October 2012 - June 2014 · 1 yr 8 mos
Bbva Wealth Solutions INC.
October 2010 - July 2012 · 1 yr 9 mos
St Johns Wealth Management
July 2010 - October 2010 · 3 mos
Bbva Compass Investment Solutions, INCBroker
November 2006 - July 2012 · 5 yrs 8 mos
Chase Investment Services CORP.Broker
July 2005 - November 2006 · 1 yr 4 mos
Banc One Securities CorporationBroker
August 2001 - July 2005 · 3 yrs 11 mos
State Registrations2 states
AZLA
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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