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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 C. Wentz is a financial advisor with over 13 years of experience in the industry. Stephen currently works with Morgan Stanley, providing financial advisory services. Stephen holds the Series 3, 7, and 63 licenses as well as the Series 65 and SIE exams. In the past, Stephen has been registered with UBS Financial Services Inc., Unicredit Capital Markets LLC and Credit Suisse Securities (USA) LLC. Stephen has been registered with state securities regulators in 39 states and the District of Columbia. Stephen is licensed in multiple states including New Jersey, New York and Texas.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/14/2023 - Present
Morgan Stanley (New York NY)
NY
09/13/2016 - 05/10/2022
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
04/02/2014 - 07/21/2016
UNICREDIT CAPITAL MARKETS LLC (NEW YORK NY)
NY
11/19/2009 - 02/13/2014
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
IA
Issued 09/15/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/01/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/08/2021
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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