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 Traugott is a financial professional with over 15 years of experience in the financial services industry. Stephen currently works at Fidelity Brokerage Services LLC where he has been since 2007. Prior to Fidelity Brokerage Services LLC, Stephen worked at National Financial Services LLC and American Express Financial Advisors Inc. Stephen holds FINRA Series 7, 24, 53 and 66 licenses. Stephen is registered in Massachusetts and Rhode Island.
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.
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.
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2
RI
05/23/2007 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
MA
01/03/2006 - 04/07/2016
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
MN
11/26/2003 - 10/20/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/26/2003 - 10/20/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 01/07/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/20/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/15/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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