Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Freidin is an active investment advisor representative and registered representative. Stephen has been in the securities industry since December 24, 1986. Stephen is currently registered with Wells Fargo Clearing Services, LLC, where Stephen has been employed since July 2012. Stephen previously worked at Morgan Stanley Smith Barney and Morgan Stanley & Co. Incorporated. Stephen is registered with the states of Alabama, Arizona, Arkansas, California, Colorado, Delaware, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New Mexico, New York, North Carolina, Oregon, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin. Stephen also has a Series 63, Series 65, and Series 7 license. Stephen is also active in the following specialties: Financial Planning, Pension Consulting, Selection of Other Advisers, and Portfolio Management for Individuals and Businesses.
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
IL
07/19/2012 - Present
Wells Fargo Clearing Services, LLC (LAKE FOREST IL)
IL
06/01/2009 - 08/17/2012
MORGAN STANLEY SMITH BARNEY (LAKE FOREST IL)
IL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WINNETKA IL)
IL
11/04/2005 - 04/02/2007
MORGAN STANLEY DW INC. (WINNETKA IL)
MO
09/27/1995 - 11/08/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NJ
05/18/1993 - 09/07/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
06/10/1991 - 05/04/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/13/1989 - 06/18/1991
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
11/21/1986 - 04/10/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
11/21/1986 - 12/04/1986
THE STUART-JAMES COMPANY, INC.
IA
Issued 05/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/17/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1986
Series 7 - General Securities 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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