Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Fraser is a financial advisor with over 7 years of experience in the industry. Stephen is currently registered with Goldman Sachs & Co. LLC and has been with the firm since March 2022. Before joining Goldman Sachs, Stephen was a registered representative with First Republic Securities Company, LLC and Northwestern Mutual Investment Services, LLC. Stephen holds Series 3, 6, 7TO, 63, and 66 licenses and is registered in all 50 states. Stephen specializes in portfolio management for individuals, businesses, and pooled investment vehicles. Stephen's firm, Goldman Sachs & Co. LLC, offers a variety of financial services, including financial planning, educational seminars, and portfolio management.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
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2
CA
03/30/2022 - Present
Goldman Sachs & Co. LLC (SAN FRANCISCO CA)
CA
04/16/2020 - 03/28/2022
FIRST REPUBLIC SECURITIES COMPANY, LLC (San Francisco CA)
CA
06/10/2015 - 04/22/2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Long Beach CA)
BOTH
Issued 08/02/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/03/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/2022
Series 3 - National Commodity Futures Examination
BC
Issued 02/06/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/10/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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