Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Albert? Claim Your ProfileAlbert M. Stephens III is a registered representative with Wells Fargo Clearing Services, LLC. Albert Stephens has been in the securities industry for over 8 years, having previously been employed at First Citizens Investor Services, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Albert Stephens has passed the Series 66, Series 7 and SIE exams and currently holds registrations in Georgia, Idaho, Massachusetts, North Carolina, South Carolina, and Texas. Albert Stephens is also a registered Investment Advisor Representative in North Carolina and Texas. Albert Stephens has been with Wells Fargo Clearing Services, LLC since 2024 and is based in Gastonia, NC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NC
07/09/2024 - Present
Wells Fargo Clearing Services, LLC (GASTONIA NC)
NC
12/19/2017 - 07/02/2024
FIRST CITIZENS INVESTOR SERVICES, INC. (CHARLOTTE NC)
NC
01/08/2016 - 12/13/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
BOTH
Issued 02/10/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/08/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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