Stephen PlainCRD Number: 3131481
Current Firm: Avantax Advisory Services
Stephen Plain (CRD# 3131481) is an Investment Advisor Representative working at Avantax Advisory Services in Falmouth, ME and has over 23 years of experience in the finance industry.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Ubs Financial Services Inc.
Charter Oak Capital Management
|Avantax Insurance Agency, LLC||Goshen, NY||Jan 2017 - Current||4|
|Stephen E. Plain LLC||Middletown, NY||Oct 2007 - Current||14|
|Avantax Advisory Services||Goshen, NY||May 1999 - Current||22|
|Avantax Investment Services, Inc.||Goshen, NY||Sep 1998 - Current||23|
|Urmston, Forshee, Plain & Amelio C||Middletown, NY||Sep 2004 - Jan 2015||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1998|
|S65||NASAA Investment Advisors Law Examination||Dec 1999|
Total Assets Under Management30,249MILLIONS
Total Number of Accounts99,251ACCOUNTS
Average Account Value$304,777
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, VT, WA, WI, WV, WY
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