Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Stephens is a financial advisor with Moelis & Co. LLC, based in San Francisco, CA. John has over 12 years of experience in the financial services industry. John is a Series 63, SIE and Series 79 licensed professional and holds a California state securities license. John has previously worked at SVB Securities LLC, UBS Securities LLC, and RBC Capital Markets, LLC.
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.
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.
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CA
04/27/2023 - Present
Moelis & Co. LLC (SAN FRANCISCO CA)
CA
08/16/2021 - 04/27/2023
SVB SECURITIES LLC (SAN FRANCISCO CA)
CA
02/28/2018 - 09/08/2021
UBS SECURITIES LLC (SAN FRANCISCO CA)
CA
06/29/2011 - 03/05/2018
RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
BC
Issued 12/13/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2011
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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