Stephen J. Mincone
Professional summary
Stephen Joseph Mincone is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Melville, New York and KESTRA INVESTMENT SERVICES, LLC located in Port Jefferson, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Stephen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Joseph Mincone's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 1303 Main Street, Port Jefferson, NY 11777March 22, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1303 Main Street, Port Jefferson, NY 11777December 14, 2015 - February 20, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/30/2020)
(10/30/2020)
(7/31/2019)
(8/2/2023)
(10/30/2020)
(10/30/2020)
(10/30/2020)
(10/30/2020)
(10/30/2020)
(11/22/2024)
(10/30/2020)
(8/2/2023)
(10/30/2020)
(4/26/2019)
(3/22/2019)
(6/22/2021)
(11/2/2020)
(10/30/2020)
(4/30/2020)
(7/7/2023)
(4/23/2019)
(5/12/2023)
(10/30/2020)
(10/30/2020)
(3/23/2022)
(10/30/2020)
Exams
FINRA
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
