Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Roe is a financial professional with over 35 years of experience in the financial services industry. Stephen currently holds Series 6, 7 and 63 licenses and is registered with Principal Securities, Inc. in both Iowa and Texas. Stephen has held previous registrations in California, Colorado, Florida, Illinois, Indiana, Minnesota, Nebraska, North Carolina, Ohio, and Wisconsin. Stephen's expertise lies in providing financial advice to individuals, businesses, and charitable organizations. He specializes in financial planning, portfolio management, and pension consulting. Stephen has worked at various financial institutions, including Principal Securities, Inc. and Principal Life Insurance Company.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
06/15/2021 - Present
Principal Securities, Inc. (West Des Moines IA)
IA
10/30/1993 - 02/17/1995
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
NA
03/04/1985 - 10/29/1993
CENTURY INVESTORS OF AMERICA, INC.
BC
Issued 03/01/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/1992
Series 7 - General Securities Representative Examination
BC
Issued 03/01/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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