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 Oricoli is a financial professional with over 30 years of experience in the financial services industry. Stephen is currently a registered representative at Robert W. Baird & Co. Inc. Stephen has worked with several firms throughout their career including Hunt Financial Securities, Jefferies LLC, UBS Securities LLC, Credit Suisse First Boston LLC, Donaldson, Lufkin & Jenrette Securities Corporation, Cantor Fitzgerald Securities, Shay Financial Services Co., Sanwa Securities (USA) Co., L.P., Sanwa Universal Securities Co., Smith Barney Shearson Inc., Morgan Stanley & Co., Incorporated and Morgan Stanley Market Products Inc. Stephen has a strong background in providing financial advice and investment management services to a variety of clients, including individuals, corporations, and institutions. Stephen holds multiple industry licenses and certifications, including the Series 7, Series 10, and Series 9 exams. Stephen is also a registered representative in 51 states and the District of Columbia.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
CT
04/03/2018 - Present
Robert W. Baird & Co. Inc. (STAMFORD CT)
NY
03/17/2017 - 02/27/2018
HUNT FINANCIAL SECURITIES (Rye Brook NY)
NY
07/14/2008 - 01/13/2017
JEFFERIES LLC (NEW YORK NY)
NY
05/17/2004 - 03/20/2008
UBS SECURITIES LLC (NEW YORK NY)
NY
10/14/1997 - 05/07/2004
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
11/03/2000 - 09/19/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
06/25/1996 - 09/30/1997
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
TX
10/24/1995 - 06/24/1996
SHAY FINANCIAL SERVICES CO. (IRVING TX)
NY
07/18/1994 - 08/14/1995
SANWA SECURITIES (USA) CO., L.P. (NEW YORK NY)
NY
07/18/1994 - 08/14/1995
SANWA UNIVERSAL SECURITIES CO. (NEW YORK NY)
NY
08/21/1991 - 05/04/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
05/22/1990 - 03/06/1991
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
04/26/1990 - 03/06/1991
MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)
BC
Issued 02/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/03/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/15/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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