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C. Stephens
45 Years of Experience
Roswell, GA
3 DisclosuresBroker
C. Stephens is a registered investment advisor at Raymond James & Associates, INC., based in Roswell, GA, with 45 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Roswell, GA
Get directionsHistory
Regulatory History (3)
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
May 1994Award / Judgment
Customer Dispute
October 1993Settled
Customer Dispute
November 1991Award / Judgment
Employment History
Current Registrations
Raymond James & Associates, INC.
September 2020 - Present · 5 yrs 10 mos
Raymond James & Associates, INC.Broker
June 1995 - Present · 31 yrs 1 mo
Raymond James & Associates, INC.
June 1995 - Present · 31 yrs 1 mo
Previous Registrations
Painewebber IncorporatedBroker
June 1990 - June 1995 · 5 yrs
Prudential-Bache Securities INC.Broker
August 1985 - June 1990 · 4 yrs 10 mos
Miller & Schroeder Municipals, INC.Broker
February 1985 - August 1985 · 6 mos
Prudential-Bache Securities INC.Broker
January 1984 - June 1990 · 6 yrs 5 mos
Hereth, Orr & Jones, INC.Broker
February 1981 - December 1983 · 2 yrs 10 mos
State Registrations17 states
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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.