Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Ernest Gales has been in the financial services industry since April 1984. Stephen is a registered representative with Wells Fargo Clearing Services, LLC, and is licensed to provide investment advice in multiple states. Stephen has worked in the financial services industry for over 38 years and has a wide range of experience, including investment consulting services to institutional clients. Stephen has a strong commitment to helping clients achieve their financial goals.
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
IA
01/01/2008 - Present
Wells Fargo Clearing Services, LLC (MASON CITY IA)
IA
06/26/1989 - 01/03/2008
A. G. EDWARDS & SONS, INC. (MASON CITY IA)
MN
03/26/1985 - 07/15/1989
PIPER, JAFFRAY & HOPWOOD INCORPORATED (MINNEAPOLIS MN)
NA
04/18/1984 - 03/26/1985
JOHN G. KINNARD AND COMPANY, INCORPORATED
BC
Issued 04/16/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/07/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/07/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1994
Series 3 - National Commodity Futures Examination
BC
Issued 04/14/1984
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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