Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Frederic Arnstein is a financial advisor with over 38 years of experience in the industry. Stephen is currently registered with Morgan Stanley. Stephen has held previous positions at CITIGROUP GLOBAL MARKETS INC. and Lehman Brothers Inc.. Stephen has Series 3, 7 and 63 securities licenses and a Series 65 investment advisor license. Stephen is registered to provide investment advisory services in 41 states and the District of Columbia. Stephen specializes in providing financial planning services to individuals, high net worth individuals, corporations and other businesses. Stephen is also a trustee for various trusts.
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
MO
02/11/2014 - Present
Morgan Stanley (Clayton MO)
MO
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CLAYTON MO)
NY
03/22/1984 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/15/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/1984
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/1984
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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