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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 Douglas has been in the financial services industry since February 2005. Stephen currently works as a registered representative at Wells Fargo Clearing Services, LLC. Stephen is registered with FINRA and has a Series 7, Series 6, and Series 63 license. Stephen also holds a Series 65 license. Stephen has previous work experience at MIDWESTERN SECURITIES TRADING COMPANY, LLC, CHASE INVESTMENT SERVICES CORP., and BANC ONE SECURITIES CORPORATION. Stephen is licensed in the following states: Arizona, Arkansas, Colorado, Florida, Georgia, Illinois, Indiana, Iowa, Maryland, Michigan, Minnesota, Missouri, New Mexico, Ohio, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin.
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
IL
07/17/2015 - Present
Wells Fargo Clearing Services, LLC (SPRINGFIELD IL)
IL
02/29/2008 - 09/16/2010
MIDWESTERN SECURITIES TRADING COMPANY, LLC (TAYLORVILLE IL)
IL
07/06/2005 - 02/25/2008
CHASE INVESTMENT SERVICES CORP. (SPRINGFIELD IL)
IL
02/22/2005 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IA
Issued 11/21/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/03/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/2008
Series 7 - General Securities Representative Examination
BC
Issued 02/21/2005
Series 6 - Investment Company Products/Variable Contracts 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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