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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Weston is an investment advisor representative associated with LPL Financial LLC, where Stephen has been employed since July 2023. Stephen has 8 years of experience in the securities industry. Stephen has passed the Series 7, Series 6, Series 63, Series 65 and Series 66 exams. Stephen also previously worked for TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC and M&T SECURITIES, INC.. Stephen provides investment advice to individuals, high-net-worth individuals, corporations or other businesses, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.
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.
Consulting and other non-discretionary advisory services
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
NY
12/19/2023 - Present
LPL Financial LLC (ITHACA NY)
NY
06/10/2015 - 01/12/2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (ITHACA NY)
NY
04/15/2014 - 05/04/2015
M&T SECURITIES, INC. (ITHACA NY)
BOTH
Issued 11/17/2023
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/03/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2023
Series 7TO - General Securities Representative Examination
BC
Issued 08/23/2023
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2015
Series 7 - General Securities Representative Examination
BC
Issued 04/15/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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