Stephen Berrocal, financial advisor Key Biscayne FL
81 score

Stephen Berrocal

CRD Number: 3071400
Current Firm: Suntrust Investment Services, Inc.

Stephen Berrocal (CRD# 3071400) is an Investment Advisor Representative working at Suntrust Investment Services, Inc. in Key Biscayne, FL and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Suntrust Investment Services Miami, FL Aug 2013 - Current 3
Unemployed Miami, FL Apr 2013 - Jul 2013 < 1
Suntrust Investment Services Miami, FL Mar 2013 - Mar 2013 < 1
J.p. Morgan Securities LLC Miami, FL Oct 2012 - Feb 2013 < 1
Chase Investment Services Corp Miami, FL Jul 2009 - Oct 2012 3
Wachovia Securities, LLC Coral Gables, FL Jan 2008 - Jul 2009 1
A.g. Edwards & Sons, Inc. Coral Gables, FL Sep 2003 - Jan 2008 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2001
S66 NASAA Uniform Combined State Law Examination Oct 2003
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
Get Details on the FINRA Advisor Check site
Contact Info for Stephen Berrocal
Phone Number: 404-813-8981
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    10,443
    MILLIONS
  • Total Number of Accounts
    26,841
    ACCOUNTS
  • Average Account Value
    $389,077
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • 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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
81

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