Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Deborah? Claim Your ProfileDeborah Alice has over 20 years of experience in the financial services industry. Deborah is a registered representative and investment advisor representative with Stifel, Nicolaus & Company, Inc. in Traverse City, MI. Deborah has held previous roles with several other firms including Raymond James Financial Services, Inc., Wells Fargo Clearing Services, LLC, UBS Financial Services Inc., and Citigroup Global Markets Inc. Deborah has a diverse range of experience and holds the Series 7, Series 9, Series 10, Series 63, and Series 65 licenses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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
MI
09/09/2021 - Present
Stifel, Nicolaus & Company, Inc. (TRAVERSE CITY MI)
MI
08/03/2020 - 09/03/2021
RAYMOND JAMES FINANCIAL SERVICES, INC. (TRAVERSE CITY MI)
MI
10/27/2016 - 08/14/2020
WELLS FARGO CLEARING SERVICES, LLC (TRAVERSE CITY MI)
MI
10/16/2009 - 11/03/2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED (TRAVERSE CITY MI)
MI
06/09/2006 - 10/16/2009
UBS FINANCIAL SERVICES INC. (TRAVERSE CITY MI)
MI
05/18/2004 - 06/09/2006
CITIGROUP GLOBAL MARKETS INC. (TRAVERSE CITY MI)
OH
08/01/2003 - 05/21/2004
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
NY
09/28/1999 - 08/07/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IL
04/30/1999 - 01/25/2000
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IA
Issued 06/07/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/10/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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