BS
BS
Brent Stein
22 Years of Experience
Beaver, PA
1 DisclosureBroker
Brent Stein is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Beaver, PA, with 22 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
Loading...
Location
446 Third Street, Beaver, PA, 15009
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.
Customer Dispute
July 2008Settled
Other Business Activities
Brent works as a financial advisor for Rivertowne Advisors, dedicating full-time hours to this role. A significant portion of his time is spent during trading hours.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
July 2015 - Present · 10 yrs 10 mos
Raymond James Financial Services, INC.Broker
July 2015 - Present · 10 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2007 - July 2015 · 8 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2007 - July 2015 · 8 yrs 5 mos
Mbsc, LLC
June 2006 - December 2006 · 6 mos
Mbsc, LLCBroker
February 2004 - December 2006 · 2 yrs 10 mos
State Registrations36 states
ARAZCACOCTDCDEFLGAIAILINKYLAMDMIMNMOMSMTNCNHNJNMNVNYOHPAPRSCTNTXVAVTWAWV
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.