SN
SN

Stephen Neff

48 Years of Experience
Tucson, AZ
Broker

Stephen Neff is a registered investment advisor at Raymond James & Associates, INC., based in Tucson, AZ, with 48 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
Loading...

Location

5285 East Williams Circle, Suite 5500, Tucson, AZ, 85711

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Employment History
Current Registrations
Raymond James & Associates, INC.
July 2017 - Present · 8 yrs 10 mos
Raymond James & Associates, INC.
July 2017 - Present · 8 yrs 10 mos
Raymond James & Associates, INC.Broker
July 2017 - Present · 8 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 1988 - July 2017 · 28 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - July 2017 · 38 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
February 1978 - September 1978 · 7 mos
State Registrations23 states
AZCACOFLIAIDILINKSLAMEMIMNNCNENHNJNVOHOKPATXVA
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.
Stephen Neff - Financial Advisor | TrueAdvisor