Unclaimed Profile

Stephen Michael Mintz

MINTZ, STEPHEN M.·MONROE, Louisiana

Series 65Clean record15 years registeredMINTZ, STEPHEN M.

1900 N. 18TH STREET, MONROE, LA 71201CRD# 5121855Firm CRD# 140245

Profile Verification

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

Identity

Stephen Michael Mintz · MONROE, LA

Registration

CRD #5121855 · MINTZ, STEPHEN M. · 15 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: MINTZ, STEPHEN M.

STEPHEN M. MINTZ DBA STEPHEN M. MINTZ, FEE-ONLY FINANCIAL CONSUL

May 2011 – Mar 2018

MONROE, LA

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · May 23, 2011

Years registered · 15

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

MINTZ, STEPHEN M.

CRD 140245 · SEC 801-69592

AUM

$15M

Regulatory assets under management

Employees

101 client accounts

Services offered by MINTZ, STEPHEN M.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at MINTZ, STEPHEN M. →

Introduction

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Frequently Asked Questions

What services does Stephen Michael Mintz offer?

Stephen Michael Mintz specializes in Financial Planning, Investment Management, Wealth Management.

What are Stephen Michael Mintz's credentials?

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

Where is Stephen Michael Mintz located?

Stephen Michael Mintz is based in MONROE, Louisiana, last registered with MINTZ, STEPHEN M..

How does Stephen Michael Mintz charge for services?

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

How large is MINTZ, STEPHEN M.?

MINTZ, STEPHEN M. has approximately 1 employees and manages $15M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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