Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Prince is a financial advisor with over 18 years of experience in the industry. Stephanie is currently registered with Lazard Asset Management Securities LLC and holds Series 6, 7, 24, 52TO, 53, 63, 66, and 79TO licenses. Stephanie previously worked at J.P. Morgan Institutional Investments Inc., ALPS Distributors, Inc., Baron Capital, Inc., Barclays Capital Inc., UBS Financial Services Inc., U.S. Bancorp Investments, Inc., UVEST Financial Services Group, Inc., TIAA-CREF Individual & Institutional Services, LLC, and Vanguard Marketing Corporation.
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.
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.
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2
NY
01/04/2023 - Present
Lazard Asset Management Securities LLC (NEW YORK NY)
NY
11/29/2021 - 01/03/2023
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (NEW YORK NY)
NY
06/06/2018 - 10/08/2021
ALPS DISTRIBUTORS, INC. (NEW YORK NY)
NY
08/17/2015 - 05/24/2018
BARON CAPITAL, INC. (NEW YORK NY)
NY
10/16/2013 - 07/31/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NJ
05/26/2011 - 10/18/2013
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NC
03/02/2010 - 05/20/2011
U.S. BANCORP INVESTMENTS, INC. (CHARLOTTE NC)
NC
05/02/2007 - 03/02/2010
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NC
09/16/2005 - 05/08/2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
PA
10/20/2004 - 08/08/2005
VANGUARD MARKETING CORPORATION (MALVERN PA)
BOTH
Issued 05/06/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/26/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/09/2013
Series 4 - Registered Options Principal Examination
BC
Issued 05/24/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/14/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2007
Series 7 - General Securities Representative Examination
BC
Issued 10/19/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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