Unclaimed Profile

Stephen Leon Harrison

EXETER FINANCIAL, LLC·SCOTTSDALE, Arizona

SIE, Series 7, Series 24, Series 63, Series 6525 years registeredEXETER FINANCIAL, LLC

7001 N. SCOTTSDALE ROAD, SCOTTSDALE, AZ 85253-3644CRD# 2236475Firm CRD# 143420

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen Leon Harrison · SCOTTSDALE, AZ

Registration

CRD #2236475 · EXETER FINANCIAL, LLC · 25 years registered

Brand Profile

Not yet started

Career History

EXETER FINANCIAL, LLC

Apr 2007 – present

OGILVIE SECURITY ADVISORS CORP

Oct 2006 – May 2007

SCOTTSDALE, AZ

FBR INVESTMENT MANAGEMENT, INC.

May 2005 – Oct 2006

ARLINGTON, VA

BANC OF AMERICA INVESTMENT SERVICES, INC.

Oct 2003 – Mar 2005

SEATTLE, WA

NORTHERN TRUST BANK FSB

Jan 2001 – Oct 2003

SEATTLE, WA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · January 29, 2001

Years registered · 25

Disclosure History

2009Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

EXETER FINANCIAL, LLC

CRD 143420 · SEC 801-67719

AUM

$334M

Regulatory assets under management

Employees

587 client accounts

Services offered by EXETER FINANCIAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at EXETER FINANCIAL, LLC →

Introduction

Speak with Stephen

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Stephen is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in SCOTTSDALE?

Browse all registered financial advisors in SCOTTSDALE, Arizona or claim this profile if it's yours.

Browse SCOTTSDALE Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Stephen Leon Harrison offer?

Stephen Leon Harrison specializes in Financial Planning, Investment Management. Contact their office in SCOTTSDALE, Arizona for a consultation.

What are Stephen Leon Harrison's credentials?

Stephen Leon Harrison is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Leon Harrison located?

Stephen Leon Harrison is based in SCOTTSDALE, Arizona, working with EXETER FINANCIAL, LLC. Their office serves clients in the SCOTTSDALE metropolitan area and surrounding communities.

How does Stephen Leon Harrison charge for services?

Stephen Leon Harrison's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is EXETER FINANCIAL, LLC?

EXETER FINANCIAL, LLC has approximately 6 employees and manages $334M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →