Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Plauche is an active securities professional with over 19 years of experience in the industry. Stephen is currently registered with Wells Fargo Securities, LLC, and has been registered with several other firms throughout his career. Stephen has extensive experience in a variety of financial products and services. Stephen is a registered principal and has passed the Series 24, Series 26, Series 14 and Series 39 exams. Stephen has also passed the Series 7, Series 6, Series 52, Series 79, Series 22, Series 82, Series 99 and the SIE exams. Stephen is registered with the Securities and Exchange Commission as a registered representative and is licensed in 53 states and Puerto Rico.
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.
1
2
NY
03/27/2023 - Present
Wells Fargo Securities, LLC (New York NY)
NY
02/28/2019 - 02/10/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
09/21/2004 - 02/26/2019
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 09/22/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/27/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/27/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/27/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 12/23/2016
Series 24 - General Securities Principal Examination
BC
Issued 03/27/2023
Series 99TO - Operations Professional Examination
BC
Issued 03/27/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 03/27/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 03/27/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 03/27/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX 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
Not sure Stephen Plauche is the right advisor for you? Invested Better is here to help.
