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Stephen Tracy
22 Years of Experience
Boca Raton, FL
5 DisclosuresBrokerSells Insurance
Stephen Tracy is a registered investment advisor at Nfsg Corporation, based in Boca Raton, FL, with 22 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 3,096 clients with $1.1B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
73 advisors
Number of Clients
3,096 clients
Average Client Portfolio
$350K average
Assets Under Management
$1.1B
Fee Structure
Minimum Investment:$25K
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fee is up to 2%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
1200 North Federal Highway, Suite 400, Boca Raton, FL, 33432
Get directionsHistory
Regulatory History (5)
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.
Employment Separation After Allegations
March 2018Financial
April 2017Final
Criminal
October 2013Final Disposition
Customer Dispute
March 2009Denied
Customer Dispute
October 2008Denied
Other Business ActivitiesSells Insurance
Stephen works as an insurance agent selling insurance products.
Employment History
Current Registrations
Nfsg Corporation
December 2019 - Present · 6 yrs 5 mos
Newbridge Securities Corporation
November 2019 - Present · 6 yrs 6 mos
Newbridge Securities CorporationBroker
November 2019 - Present · 6 yrs 6 mos
Previous Registrations
Cabot Lodge Securities LLCBroker
September 2019 - December 2019 · 3 mos
Sb Advisory, LLC
March 2018 - December 2019 · 1 yr 9 mos
Ifs SecuritiesBroker
March 2018 - September 2019 · 1 yr 6 mos
Edward Jones
March 2007 - March 2018 · 11 yrs
Edward JonesBroker
June 2003 - March 2018 · 14 yrs 9 mos
State Registrations4 states
ILINNCOH
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.