Steven Davis, financial advisor Bonsall CA
71 score

Steven Davis

CRD Number: 1810213
Current Firm: Independent Financial Partners

Steven Davis (CRD# 1810213) is an Investment Advisor Representative working at Independent Financial Partners in Bonsall, CA and has over 19 years of experience in the finance industry.

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Company Name Location Dates Years
Independent Financial Partners Bonsall, CA Mar 2012 - Current 4
Lpl Financial, LLC Fallbrook, CA Aug 2005 - Current 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1997
S65 NASAA Investment Advisors Law Examination Nov 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Steven L. Davis
Phone Number: 813-341-0960
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    4,348
    MILLIONS
  • Total Number of Accounts
    24,542
    ACCOUNTS
  • Average Account Value
    $177,153
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
71

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