Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephan? Claim Your ProfileStephan E. Rothe is a financial advisor who has been in the industry since January 21, 1998. Stephan currently works for J.P. Morgan Securities LLC and is registered as a broker and an investment advisor. Stephan has a diverse background with experience in investment advisory services, financial planning, pension consulting, and portfolio management. Stephan has a strong track record of success in helping clients achieve their financial goals and is committed to providing personalized advice. Stephan has passed several industry exams, including the Series 63, Series 66, Series 7 and SIE exams.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NJ
03/16/2022 - Present
J.p. Morgan Securities LLC (Morristown NJ)
NY
02/17/1998 - 03/04/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CO
02/17/1994 - 03/14/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BOTH
Issued 02/26/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/18/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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