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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Braun is a financial advisor with over 40 years of experience in the financial industry. Stephen is currently registered with Morgan Stanley and has been with the firm since 2009. Previously, Stephen worked at Morgan Stanley DW Inc. and Wachovia Securities, LLC. Stephen has a broad range of experience in the financial services industry. He is a registered representative, investment advisor, and has held principal licenses in the past. Stephen offers a variety of services to his clients, including financial planning, portfolio management, and asset allocation advice. Stephen is committed to providing his clients with the highest level of service and is dedicated to helping them 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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
04/02/2020 - Present
Morgan Stanley (Red Bank NJ)
NJ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RED BANK NJ)
NJ
03/04/2005 - 04/02/2007
MORGAN STANLEY DW INC. (SHORT HILLS NJ)
MO
07/01/2003 - 03/07/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
05/24/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
06/14/1993 - 06/03/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/14/1988 - 06/25/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/19/1981 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
07/22/1980 - 02/08/1981
FITTIN, CUNNINGHAM & LAUZON, INC.
IA
Issued 05/14/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/16/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/1982
Series 3 - National Commodity Futures Examination
BC
Issued 10/16/1981
Series 5 - Interest Rate Options Examination
BC
Issued 07/19/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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