Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Anthony Cavalier is a financial professional with over 30 years of experience in the industry. Stephen is currently an Investment Advisor Representative at Piper Sandler & Co. based in Minneapolis, Minnesota. Stephen has a broad range of experience in the industry, having worked at several firms including Seattle-Northwest Securities Corporation, Greenwich Partners, LLC, Everen Securities, Inc. and Gruntal & Co. Incorporated. Stephen holds Series 7, 50, 53, 63 and SIE licenses.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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
MN
09/23/2003 - Present
Piper Sandler & Co. (MINNEAPOLIS MN)
WA
07/14/1999 - 09/16/2003
SEATTLE-NORTHWEST SECURITIES CORPORATION (SEATTLE WA)
CT
04/16/1997 - 06/16/1999
GREENWICH PARTNERS, LLC (STAMFORD CT)
MO
10/18/1993 - 04/17/1997
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NY
08/23/1989 - 09/20/1993
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NA
02/14/1989 - 08/21/1989
PFG SECURITIES, INC.
BC
Issued 02/28/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 02/11/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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