Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Caggiano is an investment advisor representative at Cambridge Investment Research Advisors, Inc., a firm with a large presence in the financial services industry. Stephen has been in the industry since 1994 and has held prior positions with Princor Financial Services Corporation, 1717 Capital Management Company, and H.D. Vest Investment Securities, Inc. He has a broad base of experience in various investment sectors, including financial planning, pension consulting, educational seminars, and market timing services. Stephen is dedicated to providing personalized financial advice and tailored investment strategies to meet the individual needs of clients.
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.
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.
Solicitation fees from 3rd party money managers
1
2
PA
07/03/2008 - Present
Cambridge Investment Research Advisors, Inc. (HAVERTOWN PA)
PA
03/08/2005 - 07/03/2008
PRINCOR FINANCIAL SERVICES CORPORATION (HAVERTOWN PA)
IA
06/16/2003 - 12/31/2004
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
DE
01/03/1997 - 04/09/2003
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
TX
09/30/1993 - 01/01/1997
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
IA
Issued 09/25/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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