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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Brown is a financial advisor at Wells Fargo Clearing Services, LLC. Stephen has been in the financial services industry since 1981 and has a strong track record of providing personalized financial advice to individuals, families, and businesses. He is registered to provide investment advice in several states including Maine, Arizona, California, and Florida. Stephen's clients appreciate his commitment to understanding their financial goals and developing customized strategies to help them achieve those goals.
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.
1
2
MA
01/16/2019 - Present
Wells Fargo Clearing Services, LLC (NORWELL MA)
MA
07/13/2007 - 11/24/2014
UBS FINANCIAL SERVICES INC. (ROCKLAND MA)
MA
05/22/1989 - 07/25/2007
CITIGROUP GLOBAL MARKETS INC. (HINGHAM MA)
NA
08/12/1988 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
05/19/1986 - 08/24/1988
BEAR, STEARNS & CO. INC.
NA
08/02/1984 - 05/27/1986
THOMSON MCKINNON SECURITIES INC.
NA
09/24/1982 - 07/26/1984
L. F. ROTHSCHILD, UNTERBERG, TOWBIN
NA
10/15/1981 - 10/20/1982
PAINE, WEBBER, JACKSON & CURTIS INC.
IA
Issued 12/13/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 08/15/1981
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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