Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Duane Arthur is a financial advisor registered with Wells Fargo Clearing Services, LLC. Stephen Arthur has over 28 years of experience in the financial services industry. Stephen Arthur has been associated with Wells Fargo since 2001. Prior to that Stephen Arthur was associated with Dean Witter Reynolds Inc. and Wells Fargo Securities Inc. Stephen Arthur is registered in Oregon, Washington, Arkansas, California, Massachusetts, Utah. He is a registered Investment Advisor in Oregon and Washington. Stephen Arthur holds Series 63, 65, 7, 8, 9, 10 and SIE licenses.
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.
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.
Investment consulting services to institutional clients
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
WA
10/03/2016 - Present
Wells Fargo Clearing Services, LLC (VANCOUVER WA)
OR
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BEND OR)
CA
03/09/1999 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
05/26/1994 - 03/18/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 06/14/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/16/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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