Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Carey is a financial advisor who has been in the industry since November 1999. Stephen is currently registered with J.P. Morgan Securities LLC, and has held previous roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Investment Services, Inc. Stephen is licensed to provide investment advice in all 50 states and has a strong track record of success in helping clients achieve their financial 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.
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
06/13/2024 - Present
J.p. Morgan Securities LLC (Rockville Centre NY)
NY
07/30/2015 - 06/18/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MELVILLE NY)
NY
10/23/2009 - 12/17/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/04/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (MELVILLE NY)
IL
12/16/2004 - 10/05/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NY
10/20/1998 - 06/23/2004
DREYFUS SERVICE CORPORATION (NEW YORK NY)
BOTH
Issued 10/21/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/13/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/21/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/07/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/02/2012
Series 24 - General Securities Principal Examination
BC
Issued 07/24/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/2002
Series 7 - General Securities Representative Examination
BC
Issued 10/09/1998
Series 6 - Investment Company Products/Variable Contracts 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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