Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristin? Claim Your ProfileKristin Stephens is a financial advisor with Oppenheimer & Co. Inc. Kristin has been working in the financial industry since 2001. Previously, Kristin worked at UBS Financial Services Inc., J.P. Morgan Securities Inc., ABN AMRO Financial Services, Inc. and ABN AMRO Incorporated. Kristin holds the Series 52TO, SIE, Series 7, and Series 53 licenses. Kristin specializes in portfolio management for individuals, businesses, and pooled investment vehicles. Kristin is also a financial planner and provides 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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CT
01/24/2024 - Present
Oppenheimer & Co. Inc. (STAMFORD CT)
NY
09/01/2008 - 02/02/2024
UBS FINANCIAL SERVICES INC. (New York NY)
NY
06/25/2001 - 01/09/2007
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IL
10/02/2000 - 06/18/2001
ABN AMRO FINANCIAL SERVICES, INC. (CHICAGO IL)
CT
02/24/2000 - 10/03/2000
ABN AMRO INCORPORATED (STAMFORD CT)
BC
Issued 07/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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