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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 Dana Peet is an investment advisor representative with Morgan Stanley and has been in the industry since January 9, 1979. Stephen has a wide range of experience, having previously worked at UBS Financial Services Inc., CIBC World Markets Corp., Oppenheimer & Co., Inc., and ENI Corporation. Stephen is licensed in 34 states and has a broad range of certifications including Series 7, Series 1, Series 63, Series 39, and Series 65. Stephen currently holds registrations with FINRA and the states of Florida, New Jersey, New York, and Texas. Stephen specializes in providing investment advice for individuals, businesses, investment companies, and charitable organizations. Stephen also offers a variety of financial planning, portfolio management, and educational 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.
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
05/21/2010 - Present
Morgan Stanley (New York NY)
NY
06/02/2000 - 06/03/2010
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
08/01/1983 - 06/20/2000
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
04/03/1988 - 04/18/1995
OPPENHEIMER & CO., INC.
NA
11/13/1978 - 06/03/1983
ENI CORPORATION
IA
Issued 09/23/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/05/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/02/1981
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
BC
Issued 11/07/1978
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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