Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephan? Claim Your ProfileStephan Sandoval is a financial advisor with Principal Securities, Inc. Stephan has been in the industry since 2004 and has a wide range of experience. Stephan is registered with the state of California as both a Broker-Dealer and an Investment Advisor. Stephan's specialties include financial planning, portfolio management, and pension consulting. Stephan is also a designated bank officer for Principal Bank and Principal Trust Company, which allows them to access information and adequately support/manage Principal retirement plan account relationships.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
CA
12/08/2010 - Present
Principal Securities, Inc. (SAN DIEGO CA)
CA
01/20/2009 - 01/19/2010
LPL FINANCIAL CORPORATION (LONG BEACH CA)
CA
07/06/2005 - 01/22/2009
CUNA BROKERAGE SERVICES, INC. (SANTA ANA CA)
MO
10/13/2004 - 06/10/2005
EDWARD JONES (ST. LOUIS MO)
BOTH
Issued 09/06/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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