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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 Malter is a financial advisor with Concourse Financial Group Securities, Inc. in Birmingham, AL. Stephen has been in the financial industry since 1987. Stephen holds several licenses and certifications, including Series 7, Series 6, Series 22, Series 24, Series 63 and Series 65. Stephen has also earned the Certified Financial Planner and Chartered Financial Consultant designations. Stephen has experience working with a variety of clients, including individuals, corporations, and institutional investors.
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.
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
AL
04/14/2009 - Present
Concourse Financial Group Securities, Inc. (Birmingham AL)
ME
04/08/2009 - 01/03/2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC. (WEST BATH ME)
TX
12/18/2007 - 03/23/2009
AMERICAN GENERAL EQUITY SERVICES CORPORATION (HOUSTON TX)
MA
04/26/2002 - 08/24/2006
MML DISTRIBUTORS, LLC (SPRINGFIELD MA)
CA
04/12/2000 - 05/21/2002
EPLANNING SECURITIES, INC. (ROSEVILLE CA)
MA
04/23/2001 - 11/05/2001
MANEQUITY, INC. (BOSTON MA)
MA
05/25/1988 - 04/28/2000
SIGNATOR INVESTORS, INC. (BOSTON MA)
MA
05/25/1988 - 05/01/1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
NA
02/18/1987 - 04/28/1988
PHOENIX EQUITY PLANNING CORPORATION
IA
Issued 11/04/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/17/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/27/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/1999
Series 7 - General Securities Representative Examination
BC
Issued 07/14/1987
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 02/17/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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