Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Loh has been in the financial industry for over 25 years. Currently, Stephen is a registered representative and investment advisor representative with B. Riley Wealth Advisors, Inc. working out of their Los Angeles and Temple City offices. Stephen has a background with several other notable firms including Wells Fargo Advisors, LLC, Wedbush Securities Inc., National Securities Corporation and TD Waterhouse Investor Services.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
10/21/2021 - Present
B. Riley Wealth Advisors, Inc. (Los Angeles CA)
CA
07/26/2019 - 07/22/2022
NATIONAL SECURITIES CORPORATION (PASADENA CA)
CA
07/06/2016 - 08/01/2019
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
CA
01/03/2011 - 07/07/2016
WELLS FARGO ADVISORS, LLC (TEMPLE CITY CA)
CA
03/27/2006 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (ALHAMBRA CA)
NE
01/27/1999 - 02/10/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
SC
12/03/1996 - 04/08/1997
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
TX
11/20/1995 - 10/16/1996
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 10/02/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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