Stephen RafterCRD Number: 5275256
Current Firm: Charles Schwab & Company, Inc.
Stephen Rafter (CRD# 5275256) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Gaithersburg, MD and has over 9 years of experience in the finance industry.
|Charles Schwab Bank||Gaithersburg, MD||Apr 2016 - Current||< 1|
|Charles Schwab & Company, Inc.||Gaithersburg, MD||Apr 2016 - Current||< 1|
|Bank Of America, N.a.||Lutherville, MD||Sep 2014 - Feb 2016||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Lutherville, MD||Sep 2014 - Feb 2016||1|
|Sagepoint Financial||Germantown, MD||Nov 2013 - Aug 2014||< 1|
|Pnc Investments||Bethesda, MD||Oct 2012 - Oct 2013||1|
|Bank Of America, N.a.||Los Angeles, CA||Mar 2012 - Oct 2012||< 1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Frederick, MD||Sep 2011 - Oct 2012||1|
|Edward Jones||Saint Louis, MO||Jun 2008 - Sep 2011||3|
|Hilton Head||Hilton Head, SC||Mar 2008 - Jun 2008||< 1|
|Edward Jones||St Louis, MO||Jul 2007 - Mar 2008||< 1|
|The Bottle Shop||Longmeadow, MA||Apr 2001 - Jun 2007||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 2007|
|S66||NASAA Uniform Combined State Law Examination||Sep 2007|
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:
- Customer Dispute
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Selection of other advisers (including private fund managers)
AK, AL, AR, 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
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.