Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Sue Clay is a financial advisor registered with Wells Fargo Clearing Services, LLC. Stephanie has been in the securities industry since 1997. Stephanie is currently registered in Kansas and Texas. Stephanie has a Series 6, 7 and 66 license. Stephanie previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Banc of America Investment Services, Inc., Commerce Brokerage Services, Inc., Firstar Investment Services, Inc., and Mercantile Investment Services, Inc.
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.
Investment consulting services to institutional clients
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
KS
06/01/2016 - Present
Wells Fargo Clearing Services, LLC (OVERLAND PARK KS)
KS
06/29/2012 - 05/31/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LEAWOOD KS)
KS
11/27/2006 - 07/09/2012
UBS FINANCIAL SERVICES INC. (LEAWOOD KS)
MO
08/18/2003 - 11/29/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (LIBERTY MO)
MO
09/04/2001 - 08/20/2003
COMMERCE BROKERAGE SERVICES, INC. (CLAYTON MO)
NJ
01/03/2000 - 09/05/2001
FIRSTAR INVESTMENT SERVICES,INC. (MORRIS PLAINS NJ)
MO
07/14/1997 - 01/03/2000
MERCANTILE INVESTMENT SERVICES, INC. (ST. LOUIS MO)
BOTH
Issued 08/23/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/1998
Series 7 - General Securities Representative Examination
BC
Issued 02/05/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe 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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