Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Pryor is a financial professional with over 30 years of experience in the financial services industry. Stephen has a strong background in providing financial advice and investment management services to individuals, businesses, and institutions. He has a deep understanding of the financial markets and a proven track record of success. Stephen is currently registered with Raymond James & Associates, Inc., where he provides a range of financial services. He also holds several licenses and certifications, including the Series 3, 7, 9, 10, 63, and 65.
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.
Please see note in schedule d - miscellaneous
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
DC
12/19/2024 - Present
Raymond James & Associates, Inc. (WASHINGTON DC)
ME
12/06/2013 - 01/13/2017
RBC CAPITAL MARKETS, LLC (PORTLAND ME)
MO
10/10/2006 - 12/06/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (KANSAS CITY MO)
ME
10/11/2013 - 10/30/2013
RBC CAPITAL MARKETS, LLC (PORTLAND ME)
VA
05/30/2002 - 08/25/2006
WACHOVIA SECURITIES, LLC (RICHMOND VA)
NY
06/23/1998 - 06/07/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/14/1996 - 05/27/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
06/26/1994 - 11/22/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
10/23/1991 - 06/21/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/20/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/04/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/20/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2002
Series 3 - National Commodity Futures Examination
BC
Issued 10/21/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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