Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Brandon Stephen is a financial advisor with Tiaa-Cref Individual & Institutional Services, LLC and is based in Charlotte, NC. Eric Stephen has been in the financial services industry since 2007. Eric Stephen has a Series 66, 7, 24, SIE and 99TO license, and is registered to provide investment advisory services in North Carolina.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
NC
05/10/2016 - Present
Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTE NC)
NE
05/29/2007 - 11/13/2008
TD AMERITRADE, INC. (BELLEVUE NE)
NE
09/29/2005 - 05/29/2007
TD AMERITRADE CLEARING, INC. (BELLEVUE NE)
BOTH
Issued 11/15/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/15/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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