Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Morris is a financial advisor with Stifel, Nicolaus & Company, Inc. Stephanie has been in the financial services industry since 1993. Stephanie's previous employers include Morgan Stanley, Wells Fargo Advisors, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Sutro & Co. Incorporated and H.D. Vest Investment Securities, Inc. Stephanie has a strong track record of success in providing financial advice to individuals, families, and businesses. Stephanie is committed to helping her clients achieve their financial goals.
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.
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.
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
CA
06/30/2023 - Present
Stifel, Nicolaus & Company, Inc. (WESTLAKE VILLAGE CA)
CA
08/07/2015 - 07/06/2023
MORGAN STANLEY (Westlake Village CA)
CA
07/10/2003 - 06/08/2015
WELLS FARGO ADVISORS, LLC (WESTLAKE VILLAGE CA)
NY
11/13/1996 - 06/04/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
10/06/1995 - 10/24/1996
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
TX
01/29/1990 - 12/23/1992
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
IA
Issued 03/08/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1995
Series 7 - General Securities Representative Examination
BC
Issued 01/09/1991
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 01/25/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX 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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