Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames P. Stephan is a financial advisor who has been in the industry since 1987. Stephan is currently registered with Wedbush Securities Inc. in California. Stephan has also been registered with First Wall Street Corp. and A. G. Edwards & Sons, Inc. in the past. Stephan has a series 63 and 65 license as well as a Series 7 license and the SIE exam. Stephan has been registered with the state of California since 2009 and has a number of other registrations in various states. Stephan offers a variety of services including financial planning, portfolio management, and pension consulting.
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
CA
01/02/2009 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
CA
04/26/1991 - 12/31/2008
FIRST WALL STREET CORP. (SAN DIEGO CA)
MO
07/23/1990 - 04/16/1991
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
CA
04/28/1987 - 07/24/1990
FIRST WALL STREET CORP. (LA JOLLA CA)
IA
Issued 03/10/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, 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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