Stephen Arnold, financial advisor Newbury Park CA
38 score

Stephen Arnold

CRD Number: 1178562
Current Firm: Sagepoint Financial, Inc.

Stephen Arnold (CRD# 1178562) is an Investment Advisor Representative working at Sagepoint Financial, Inc. in Newbury Park, CA and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Sagepoint Financial Westlake Village, CA Jan 2013 - Current 3
Independent Financial Group San Diego, CA Dec 2008 - Jan 2013 4
Eplanning Securities, Inc. Camarillo, CA Jun 2008 - Dec 2008 < 1
Morgan Peabody, Inc. Camario, CA Jul 2007 - Jun 2008 < 1
Brookstreet Securities Corporation Irvine, CA Sep 2002 - Jul 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1983
S65 NASAA Investment Advisors Law Examination Sep 2008
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:
  • Employer Dispute
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Stephen C. Arnold
Phone Number: 1-800-552-3319 EXT 2606
Registered State(s):
  • CA
  • MT
By the Numbers
  • Total Assets Under Management
    4,385
    MILLIONS
  • Total Number of Accounts
    23,011
    ACCOUNTS
  • Average Account Value
    $190,540
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • 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)
  • Educational seminars/workshops
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
38

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