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 Thompson is a financial advisor with over 26 years of experience in the industry. Stephen is currently registered with Wells Fargo Clearing Services, LLC and has a Series 7, Series 63 and SIE licenses. Stephen has previously been registered with Wells Fargo Investments, LLC, WM Financial Services, Inc., Great Western Financial Securities Corporation, Olde Discount Corporation and Chatfield Dean & Co., Inc. Stephen specializes in providing financial advice and investment management services to individuals, families, businesses and corporations. Stephen's experience, combined with his dedication to providing personalized service, make him a valuable asset to his clients.
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.
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2
CA
11/07/2012 - Present
Wells Fargo Clearing Services, LLC (SANTEE CA)
CA
11/20/2003 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (EL CAJON CA)
CA
05/01/1998 - 11/14/2003
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
03/14/1997 - 05/01/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
MI
08/01/1996 - 02/10/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
CO
03/13/1996 - 05/10/1996
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BC
Issued 04/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/1996
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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