Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Edward Pettee is a financial advisor with over 30 years of experience in the industry. Stephen has held previous roles at Morgan Stanley, Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Stephen is currently registered with Wells Fargo Clearing Services, LLC and holds Series 7, Series 63, and SIE licenses. Stephen is registered in 14 states and offers investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
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2
AZ
03/15/2019 - Present
Wells Fargo Clearing Services, LLC (PHOENIX AZ)
AZ
06/01/2009 - 04/01/2019
MORGAN STANLEY (PHOENIX AZ)
AZ
11/14/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PHOENIX AZ)
AZ
10/23/1987 - 11/19/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PHOENIX AZ)
NA
10/24/1986 - 01/07/1988
SHEARSON LEHMAN BROTHERS INC.
BC
Issued 10/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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