SE
Stephen D. Evans
PORTFOLIO MEDICS
Dothan, AL
Some features on this profile are disabled
CRD#: 4807251
SE
Professional summary
Stephen Dale Evans, who also goes by Stephen D. Evans Mr., Stephen D. Evans, is a registered financial advisor currently at PORTFOLIO MEDICS, LLC located in Dothan, Alabama.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Stephen has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen D. Evans Mr. | Stephen D. Evans
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) elf, Dothan, AL; Not investment related; Title/Position: Owner; Nature: Real Estate Rental Property in Dothan, AL; Duties: No duties - currently managed by a management company; Devotes 10 hours/month; Not compensated. 2) Blue Refuge; School security systems, mental health awareness, COVID protection; 5485 Bethelview Rd. Suite 360-337 Cumming, GA 30040; Start date: 06/30/2020; Consulting; compensated annually; 10hr/month; 0.10hr/day; not investment-related 3) Independent Insurance Agent, sells insurance products, spends approximately 20 hours a month in this endeavor
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Dale Evans'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
April 20, 2022 - Present
PORTFOLIO MEDICS, LLC
RIA
CRD#: 145958
Dothan, AL
Past
May 18, 2018 - December 9, 2021
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
Franklin, TN
Past
May 17, 2018 - December 9, 2021
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
Franklin, TN
Past
May 9, 2017 - May 15, 2018
AVONDALE PARTNERS, LLC
RIA
CRD#: 46838
Dothan, AL
Past
March 3, 2017 - May 15, 2018
AVONDALE PARTNERS, LLC
BD
CRD#: 46838
NASHVILLE, TN
Past
September 3, 2014 - January 23, 2017
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
DOTHAN, AL
Past
April 25, 2013 - January 23, 2017
WEALTHSPIRE RETIREMENT ADVISORY
RIA
CRD#: 121254
DOTHAN, AL
Past
March 9, 2009 - April 15, 2013
FINANCIAL TELESIS INC
RIA
CRD#: 31012
DOTHAN, AL
Past
March 9, 2009 - September 2, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
DOTHAN, AL
Past
September 17, 2008 - February 20, 2009
CAPSOUTH WEALTH MANAGEMENT
RIA
CRD#: 132517
DOTHAN, AL
Past
September 29, 2006 - December 31, 2006
NBC SECURITIES, INC.
RIA
CRD#: 17870
DOTHAN, AL
Past
January 13, 2006 - February 27, 2009
NBC SECURITIES, INC.
BD
CRD#: 17870
DOTHAN, AL
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".
PM
PORTFOLIO MEDICS, LLC
401 (K) MEDICS, LLC | PORTFOLIO MEDICS, LLC | 401(K) MEDICS, LLC,403(B) MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
RIA
Registered Investment Advisory firm - (8/16/2018 Approved)Arizona
Registered Investment Advisory firm - (10/3/2018 Terminated)California
Registered Investment Advisory firm - (5/13/2019 Terminated)Florida
Registered Investment Advisory firm - (10/3/2018 Terminated)Georgia
Registered Investment Advisory firm - (10/5/2018 Terminated)Illinois
Registered Investment Advisory firm - (11/18/2011 Terminated)Kentucky
Registered Investment Advisory firm - (10/3/2018 Terminated)Minnesota
Registered Investment Advisory firm - (11/18/2011 Terminated)New York
Registered Investment Advisory firm - (11/18/2011 Terminated)North Carolina
Registered Investment Advisory firm - (10/5/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/3/2018 Terminated)Oregon
Registered Investment Advisory firm - (10/3/2018 Terminated)South Carolina
Registered Investment Advisory firm - (10/3/2018 Terminated)Tennessee
Registered Investment Advisory firm - (10/4/2018 Terminated)Texas
Registered Investment Advisory firm - (10/3/2018 Terminated)Virginia
Registered Investment Advisory firm - (11/13/2015 Terminated)West Virginia
Registered Investment Advisory firm - (11/18/2011 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.Highlighted states indicate IAR registrations
IAR
Alabama(4/26/2022)
IAR
Louisiana(4/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PM
PORTFOLIO MEDICS, LLC
401 (K) MEDICS, LLC | PORTFOLIO MEDICS, LLC | 401(K) MEDICS, LLC,403(B) MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
RIA
Registered Investment Advisory firm - (8/16/2018 Approved)Arizona
Registered Investment Advisory firm - (10/3/2018 Terminated)California
Registered Investment Advisory firm - (5/13/2019 Terminated)Florida
Registered Investment Advisory firm - (10/3/2018 Terminated)Georgia
Registered Investment Advisory firm - (10/5/2018 Terminated)Illinois
Registered Investment Advisory firm - (11/18/2011 Terminated)Kentucky
Registered Investment Advisory firm - (10/3/2018 Terminated)Minnesota
Registered Investment Advisory firm - (11/18/2011 Terminated)New York
Registered Investment Advisory firm - (11/18/2011 Terminated)North Carolina
Registered Investment Advisory firm - (10/5/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/3/2018 Terminated)Oregon
Registered Investment Advisory firm - (10/3/2018 Terminated)South Carolina
Registered Investment Advisory firm - (10/3/2018 Terminated)Tennessee
Registered Investment Advisory firm - (10/4/2018 Terminated)Texas
Registered Investment Advisory firm - (10/3/2018 Terminated)Virginia
Registered Investment Advisory firm - (11/13/2015 Terminated)West Virginia
Registered Investment Advisory firm - (11/18/2011 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
27499 Riverview Center Blvd Suite 406, Bonita Springs, FL 34134
Mailing Address
Phone number
(239) 444-1766
Established
Firm type
Fiscal year end
# of Employees
75
SEC notice filing (41 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,702 |
| AUM (Assets Under Management) | $ 552,733,331 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
