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 Plain is a financial advisor with Avantax Advisory Services. Stephen has been in the financial services industry since 1999. Stephen is registered as a broker-dealer in 14 states and as an investment advisor in 2 states. Stephen is a Personal Financial Specialist and holds the Series 6, Series 63, Series 26, and Series 65 licenses. Stephen also holds the SIE license. Stephen is a member of the Town of Wallkill Boys & Girls Club's honorary board. Stephen is a tax preparer and accountant and may have the ability to sell variable annuities, fixed annuities, any/all types of index annuities, and variable insurance (e.g. VUL/VIL).
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
ME
07/22/2021 - Present
Avantax Advisory Services (Falmouth ME)
IA
Issued 12/13/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/03/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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