SP
Stephen A. Pierce
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT
SPANISH FORT, AL 36527
Some features on this profile are disabled
CRD#: 2170820
SP
Professional summary
Stephen Anthony Pierce, who also goes by Stephen A Pierce, Steve Pierce, is a registered financial advisor currently at INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC located in Spanish Fort, Alabama and INTERNATIONAL ASSETS ADVISORY, LLC located in Daphne, Alabama.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Stephen has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen A Pierce | Steve Pierce
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) ROCKBRIDGE WEALTH MANAGEMENT, INVESTMENT RELATED, 9812 MILLWOOD DRIVE DAPHNE AL 36527, DBA FOR FINANCIAL SERVICES ENTITY, PARTNER, START DATE 03/2010, 160 HRS/MTH, 130 HRS/MTH DURING TRADING HOURS, SALES AND SERVICE 2) INTERNATIONAL ASSETS INVESTMENT MANAGEMENT LLC 111 N ORANGE AVE, STE 1000, ORLANDO, FL 32801 - RIA AFFILIATE OF INTERNATIONAL ASSETS ADVISORS - ADVISOR SINCE 6/2017 - APPROX 80 HRS/MO - FEE BASED COMPENSATION
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Anthony Pierce's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 10, 2017 - Present
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
Office #1: 9812 Millwood Circle, Spanish Fort, AL 36527RIA
CRD#: 144426
SPANISH FORT, AL
Current
June 9, 2017 - Present
INTERNATIONAL ASSETS ADVISORY, LLC
Office #1: 9812 Millwood Circle, Daphne, AL 36527RIA
BD
CRD#: 10645
Daphne, AL
Past
April 5, 2010 - May 26, 2017
WFG INVESTMENTS, INC.
BD
CRD#: 22704
DAPHNE, AL
Past
July 7, 2005 - February 8, 2010
ROCKBRIDGE ASSET MANAGEMENT, LLC
RIA
CRD#: 134810
DAPHNE, AL
Past
June 28, 2005 - June 30, 2005
VERITAS ASSET MANAGEMENT, LLC
RIA
CRD#: 134810
DAPHNE, AL
Past
March 29, 2005 - June 9, 2005
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
DAPHNE, AL
Past
March 21, 2005 - March 28, 2005
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
DAPHNE, AL
Past
March 21, 2005 - March 29, 2010
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
DAPHNE, AL
Past
November 29, 2002 - March 24, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
FAIR HOPE, AL
Past
November 29, 2002 - March 24, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
July 6, 1995 - December 3, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
METAIRIE, LA
Past
May 9, 1995 - December 3, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 31, 1993 - April 25, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 8, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 16, 1991 - May 19, 1992
F.N. WOLF & CO., INC.
BD
CRD#: 13051
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IA
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
A. JOSEPH MARGOLIS LLC | WOODS ASSOCIATES | WINN PARTNERS FINANCIAL GROUP | W.J. CONN CAPITAL | VITAL GUIDANCE INC. | VERMONT WEALTH MANAGEMENT | UNITED WEALTH MANAGEMENT | TOUSSAINT FINANCIAL | THE FINANCIAL NETWORK | T. SPENCER SAMUELS INSURANCE & FINANCIAL SVCS. | SULLIVAN WEALTH STRATEGIES | STERLING NOBLE WEALTH MANAGEMENT | STEED WEALTH MANAGEMENT, LLC | SPENCER SAMUELS INSURANCE & FINANCIAL SERVICES | SHILLIN WEALTH MANAGEMENT | SEASIDE WEALTH MANAGEMENT, LLC | ROCKPORT GLOBAL LLC | ROCKBRIDGE WEALTH MANAGEMENT | RISING SUN WEALTH MANAGEMENT | RICH WEALTH MANAGEMENT | REVOLUTION ADVISOR, LLC | RAPPAPORT WEALTH MANAGEMENT | RAND GROUP FINANCIAL | POTOCSNY FINANCIAL GROUP | PORTER-RAY GROUP | PLATINUM INVESTMENTS, LLC | PATHLIGHT INVESTING | O'NEIL WEALTH SERVICES, LLC | NOLA FINANCIAL WEALTH MANAGEMENT | NICHOLS FINANCIAL GROUP, INC | NELSON FINANCIAL SERVICES | MOUNTAIN PEAK FINANCIAL SOLUTIONS | MONARCH RETIREMENT | MONARCH ADVISORY SERVICES FINANCIAL, LLC | MIDWEST FINANCIAL MANAGEMENT | MCW WEALTH MANAGEMENT | MADDOX INVESTMENT SERVICES | MACEDON FINANCIAL MANAGEMENT, LLC | LR VASSALLO & ASSOC | LOYAL TRUST PRIVATE WEALTH | LINDBLOOM INVESTMENT SERVICES, LLC | LEGACY PARK WEALTH | KNAPP FINANCIAL GROUP LLC | KEYARX GROUP | JANSEN WEALTH MANAGEMENT, LLC | JAMES E. BASHAW & CO | JAG SHORE ENTERPRISES | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | INTEGRAL WEALTH PLANNING, LLC | INTEGRAL WEALTH PLANNING LLC | INSIGHT PRIVATE WEALTH | IAA WEALTH MANAGEMENT | HUSTAD WEALTH MANAGEMENT | HELIOS CAPITAL ADVISORS, LLC | HARRISON FINANCIAL MANAGEMENT, LLC | HALL WEALTH ADVISORS | GULF COAST WEALTH ADVISORS | GRANITE WEALTH MANAGEMENT | GPS WEALTH MANAGEMENT | GOLD LEAF INVESTMENTS | GLOBULL INVESTMENTS | G2 RAMPART CONSULTING, LLC | FYLLING WEALTH MANAGEMENT, LLC | FULCRUM PONT FIXED INCOME GROUP | FINANCIAL ADVANTAGE WEALTH MANAGEMENT | FFS ADVISORY | EPSTEIN & KOLACZ WEALTH MANAGEMENT | EMPOWER BROKERAGE INC. | ELEVATE PRIVATE WEALTH GROUP, LLC | ECL PRIVATE WEALTH MANAGEMENT | DPR WEALTH MANAGEMENT | DIXON FINANCIAL PARTNERS | DENISON FINANCIAL | DANTAS ADVISORY | CONFIDENT TRUST FINANCIAL GROUP | CHOICE FINANCIAL SERVICES | C A ROSS WEALTH MANAGEMENT GROUP | BYRER WEALTH MANAGEMENT, LLC | BUTCHER FINANCIAL, LLC | BURGESSER WEALTH MANAGEMENT, INC | BRIN FINANCIAL | BOURQUE WEALTH SOLUTIONS, LLC | BLACOR USA | BECKERMAN & ASSOCIATES, LLC | ATX FINANCIAL | ATLANTIC WEALTH MANAGEMENT, INC. | ARTHUR MORRIS LIFESTYLE WEALTH MANAGEMENT, LLC | ARROW ADVISORS | AMERICAN RETIREMENT SOLUTIONS OF GEORGIA | AINE PRIVATE WEALTH, LLC | AFACAN WEALTH MANAGEMENT
CRD#: 144426 / SEC#: 801-68114
RIA
Registered Investment Advisory firm - (7/5/2007 Approved)New Jersey
Registered Investment Advisory firm - (9/7/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/10/2017)
IAR
Alabama(7/10/2017)
RR
Florida(2/23/2018)
RR
Georgia(8/18/2017)
RR
Louisiana(6/9/2017)
RR
Michigan(8/23/2017)
RR
Mississippi(7/10/2017)
RR
Texas(9/22/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
A. JOSEPH MARGOLIS LLC | WOODS ASSOCIATES | WINN PARTNERS FINANCIAL GROUP | W.J. CONN CAPITAL | VITAL GUIDANCE INC. | VERMONT WEALTH MANAGEMENT | UNITED WEALTH MANAGEMENT | TOUSSAINT FINANCIAL | THE FINANCIAL NETWORK | T. SPENCER SAMUELS INSURANCE & FINANCIAL SVCS. | SULLIVAN WEALTH STRATEGIES | STERLING NOBLE WEALTH MANAGEMENT | STEED WEALTH MANAGEMENT, LLC | SPENCER SAMUELS INSURANCE & FINANCIAL SERVICES | SHILLIN WEALTH MANAGEMENT | SEASIDE WEALTH MANAGEMENT, LLC | ROCKPORT GLOBAL LLC | ROCKBRIDGE WEALTH MANAGEMENT | RISING SUN WEALTH MANAGEMENT | RICH WEALTH MANAGEMENT | REVOLUTION ADVISOR, LLC | RAPPAPORT WEALTH MANAGEMENT | RAND GROUP FINANCIAL | POTOCSNY FINANCIAL GROUP | PORTER-RAY GROUP | PLATINUM INVESTMENTS, LLC | PATHLIGHT INVESTING | O'NEIL WEALTH SERVICES, LLC | NOLA FINANCIAL WEALTH MANAGEMENT | NICHOLS FINANCIAL GROUP, INC | NELSON FINANCIAL SERVICES | MOUNTAIN PEAK FINANCIAL SOLUTIONS | MONARCH RETIREMENT | MONARCH ADVISORY SERVICES FINANCIAL, LLC | MIDWEST FINANCIAL MANAGEMENT | MCW WEALTH MANAGEMENT | MADDOX INVESTMENT SERVICES | MACEDON FINANCIAL MANAGEMENT, LLC | LR VASSALLO & ASSOC | LOYAL TRUST PRIVATE WEALTH | LINDBLOOM INVESTMENT SERVICES, LLC | LEGACY PARK WEALTH | KNAPP FINANCIAL GROUP LLC | KEYARX GROUP | JANSEN WEALTH MANAGEMENT, LLC | JAMES E. BASHAW & CO | JAG SHORE ENTERPRISES | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | INTEGRAL WEALTH PLANNING, LLC | INTEGRAL WEALTH PLANNING LLC | INSIGHT PRIVATE WEALTH | IAA WEALTH MANAGEMENT | HUSTAD WEALTH MANAGEMENT | HELIOS CAPITAL ADVISORS, LLC | HARRISON FINANCIAL MANAGEMENT, LLC | HALL WEALTH ADVISORS | GULF COAST WEALTH ADVISORS | GRANITE WEALTH MANAGEMENT | GPS WEALTH MANAGEMENT | GOLD LEAF INVESTMENTS | GLOBULL INVESTMENTS | G2 RAMPART CONSULTING, LLC | FYLLING WEALTH MANAGEMENT, LLC | FULCRUM PONT FIXED INCOME GROUP | FINANCIAL ADVANTAGE WEALTH MANAGEMENT | FFS ADVISORY | EPSTEIN & KOLACZ WEALTH MANAGEMENT | EMPOWER BROKERAGE INC. | ELEVATE PRIVATE WEALTH GROUP, LLC | ECL PRIVATE WEALTH MANAGEMENT | DPR WEALTH MANAGEMENT | DIXON FINANCIAL PARTNERS | DENISON FINANCIAL | DANTAS ADVISORY | CONFIDENT TRUST FINANCIAL GROUP | CHOICE FINANCIAL SERVICES | C A ROSS WEALTH MANAGEMENT GROUP | BYRER WEALTH MANAGEMENT, LLC | BUTCHER FINANCIAL, LLC | BURGESSER WEALTH MANAGEMENT, INC | BRIN FINANCIAL | BOURQUE WEALTH SOLUTIONS, LLC | BLACOR USA | BECKERMAN & ASSOCIATES, LLC | ATX FINANCIAL | ATLANTIC WEALTH MANAGEMENT, INC. | ARTHUR MORRIS LIFESTYLE WEALTH MANAGEMENT, LLC | ARROW ADVISORS | AMERICAN RETIREMENT SOLUTIONS OF GEORGIA | AINE PRIVATE WEALTH, LLC | AFACAN WEALTH MANAGEMENT
CRD#: 144426 / SEC#: 801-68114
RIA
Registered Investment Advisory firm - (7/5/2007 Approved)New Jersey
Registered Investment Advisory firm - (9/7/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Mailing Address
Phone number
(407) 254-1500
Established
Firm type
Fiscal year end
# of Employees
128
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,359 |
| AUM (Assets Under Management) | $ 2,212,521,886 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
CRD#: 144426Spanish Fort, AL 36527TRUST BUT VERIFY
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