Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Christopher Finley is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has been in the securities industry since May 2006 and has Series 7, 9, 10, and 66 licenses. Stephen provides investment advisory services to individuals, businesses, and institutions. Stephen specializes in providing investment advice on a wide range of investment products, including stocks, bonds, mutual funds, and exchange-traded funds. Stephen is also able to provide financial planning services, such as retirement planning, college savings planning, and estate planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
10/10/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
BOTH
Issued 10/08/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/26/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/19/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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