Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Andrew Stephen is a registered investment advisor representative with Wells Fargo Clearing Services, LLC, working in the Short Hills, New Jersey office. Scott has been in the industry since 1994 and has held registrations with several firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated and McLaughlin, Piven, Vogel Securities, Inc. Scott holds licenses in several states including California, Colorado, Connecticut, Delaware, Florida, and more. Scott is committed to providing clients with a high level of personalized service and expertise.
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
NJ
01/06/2004 - Present
Wells Fargo Clearing Services, LLC (SHORT HILLS NJ)
NY
08/19/1997 - 11/09/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/18/1994 - 08/08/1997
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (NEW YORK NY)
IA
Issued 09/03/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/08/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1995
Series 7 - General Securities Representative Examination
BC
Issued 07/15/1994
Series 6 - Investment Company Products/Variable Contracts 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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