Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ross? Claim Your ProfileRoss Allen Stein is a financial advisor with over 38 years of experience in the industry. Ross has a broad range of experience, having worked for several firms, including A. G. EDWARDS & SONS, INC., LINSCO/PRIVATE LEDGER CORP., and RICKEL & ASSOCIATES, INC. Ross currently works for Wells Fargo Clearing Services, LLC as a Registered Representative and Investment Advisor Representative. Ross holds multiple industry licenses, including Series 7, 63, 66, and 24, and has extensive experience working with individuals and families. Ross is registered to offer investment advisory services in New York, New Jersey and Texas.
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.
Investment consulting services to institutional clients
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.
1
2
NY
11/18/2020 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
04/26/2000 - 01/03/2008
A. G. EDWARDS & SONS, INC. (NEW YORK NY)
SC
08/05/1994 - 05/02/2000
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NY
01/05/1984 - 08/15/1994
RICKEL & ASSOCIATES, INC. (NEW YORK NY)
BOTH
Issued 10/01/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/23/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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