Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Fox is a registered representative with First Trust Advisors LP. Stephen has been in the industry since July 1999 and has experience with a variety of financial institutions, including Nuveen Securities, LLC and Morgan Stanley. Stephen is licensed to provide investment advice and securities brokerage services in Illinois. Stephen focuses on providing investment advice and portfolio management services to individuals, businesses, investment companies, and pooled investment vehicles.
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.
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.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
Fixed fees per unit (uits) for portfolio supervisory services
1
2
IL
12/08/2017 - Present
First Trust Advisors LP (WHEATON IL)
NY
10/25/2013 - 10/19/2016
NUVEEN SECURITIES, LLC (NEW YORK NY)
NY
06/01/2009 - 10/24/2013
MORGAN STANLEY (PURCHASE NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
07/20/1998 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 12/08/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/09/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/02/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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