Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sheldon? Claim Your ProfileSheldon Stephen has been in the financial industry since April 10, 2016. Sheldon is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since May 2017. Sheldon is licensed in Alaska, Florida, Idaho, Oregon, Texas, and Washington. Previous to joining Merrill Lynch, Sheldon was registered with J.P. MORGAN SECURITIES LLC and CHASE INVESTMENT SERVICES CORP. Sheldon Stephen has a background in banking and has worked for several financial institutions, including JPMorgan Chase Bank NA, Bank of America N.A., Priority Lending, Union Bank, and Bank of the West.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
WA
01/30/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LYNNWOOD WA)
WA
10/01/2012 - 12/31/2013
J.P. MORGAN SECURITIES LLC (SEATTLE WA)
WA
05/09/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SEATTLE WA)
BOTH
Issued 01/11/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/25/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2018
Series 7TO - General Securities Representative Examination
BC
Issued 11/07/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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