Stephen RafterCRD Number: 5275256
Current Firm: Good Life Advisors, LLC
Stephen Rafter (CRD# 5275256) is an Investment Advisor Representative working at Good Life Advisors, LLC in Baltimore, MD and has over 11 years of experience in the finance industry.
Commonwealth Financial Network
Aegis Wealth Management LLC
Planning Solutions Group, LLC
|Lpl Financial LLC||Middletown, MD||Nov 2017 - Current||< 1|
|Good Life Advisors, LLC||Middletown, MD||Nov 2017 - Current||< 1|
|Charles Schwab & Company, Inc.||Gaithersburg, MD||Apr 2016 - Nov 2017||1|
|Charles Schwab Bank||Gaithersburg, MD||Apr 2016 - Nov 2017||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|
|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 Management622MILLIONS
Total Number of Accounts6,405ACCOUNTS
Average Account Value$97,077
- A percentage of assets under your management
- Hourly charges
- Subscription fees (for a newsletter or periodical)
- 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)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AL, AZ, CA, CO, CT, DE, FL, GA, HI, ID, IL, IN, KS, LA, MA, MD, MI, MN, MO, NC, NH, NJ, NM, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA, WI, WV
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