Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Barto is a financial advisor with over 28 years of experience in the industry. Stephen currently works at Wells Fargo Advisors Financial Network, LLC and is registered in Maryland and Virginia. Stephen has been in the financial services industry since 1994 and has previously worked for UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Cigna Financial Advisors, Inc. Stephen is a Series 6, 7, 63 and 65 licensed financial advisor. Stephen specializes in financial planning, portfolio management, and investment consulting services to institutional 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
MD
08/25/2022 - Present
Wells Fargo Advisors Financial Network, LLC (BETHESDA MD)
VA
01/10/2007 - 08/22/2022
WELLS FARGO CLEARING SERVICES, LLC (MCLEAN VA)
VA
03/12/1999 - 01/23/2007
UBS FINANCIAL SERVICES INC. (VIENNA VA)
NY
07/07/1995 - 03/24/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
PA
01/27/1994 - 06/06/1995
CIGNA FINANCIAL ADVISORS,INC. (RADNOR PA)
IA
Issued 05/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/1995
Series 7 - General Securities Representative Examination
BC
Issued 01/26/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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