Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Beaton is a financial advisor with J.p. Morgan Securities LLC, registered to offer securities and investment advisory services in New York and Texas. Stephen has been in the industry since March 2004 and has previously worked for UBS Financial Services Inc, Citigroup Global Markets Inc, Citicorp Investment Services, and ADP Clearing & Outsourcing Services, Inc. Stephen holds the Series 65 and Series 66 licenses, in addition to the Series 7, Series 9, Series 10, and SIE licenses. Stephen offers financial planning, pension consulting, and selection of other advisors.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
09/17/2021 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
01/15/2010 - 01/28/2019
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
05/29/2007 - 01/27/2010
CITIGROUP GLOBAL MARKETS INC. (BROOKLYN NY)
NY
07/28/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (BROOKLYN NY)
NY
02/03/2004 - 06/30/2006
ADP CLEARING & OUTSOURCING SERVICES, INC. (NEW YORK NY)
IA
Issued 09/17/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 09/05/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/10/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/08/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2004
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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