Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Braatz is a financial advisor with RBC Capital Markets, LLC. Stephen has been in the financial industry since July 1, 2008. Stephen is registered with the Securities and Exchange Commission and is licensed to sell securities in several states, including Minnesota, Texas, Arizona, California, Colorado, Florida, Illinois, Maryland, Massachusetts, Missouri, New York, North Dakota, Washington and Wisconsin. Stephen holds the Series 66, Series 31, and Series 7 licenses. Stephen has been a financial advisor at RBC Capital Markets, LLC since October 2018. Prior to joining RBC Capital Markets, LLC, Stephen worked as a financial advisor at Wells Fargo Clearing Services, LLC.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MN
10/04/2018 - Present
RBC Capital Markets, LLC (ST. PAUL MN)
MN
01/03/2011 - 10/04/2018
WELLS FARGO CLEARING SERVICES, LLC (SAINT LOUIS PARK MN)
MN
07/19/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (HOPKINS MN)
MN
06/01/2009 - 08/13/2010
MORGAN STANLEY SMITH BARNEY (MINNEAPOLIS MN)
MN
07/02/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MINNEAPOLIS MN)
BOTH
Issued 07/18/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 07/01/2008
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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