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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 G. Shaw is a financial advisor with Wells Fargo Clearing Services, LLC. Stephen is a registered investment advisor with the state of Texas and New Mexico. He is also registered as a broker-dealer with the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Stephen has more than 6 years of experience in the financial services industry. Prior to joining Wells Fargo Clearing Services, LLC, Stephen worked for FIRST COMMAND FINANCIAL PLANNING, INC. and CHARLES SCHWAB & CO., INC.. He has a Series 66, 65, and 63 license. He is also a licensed principal with a Series 10, 9 and 7 license. Stephen specializes in providing financial advice to high-net-worth individuals, businesses, and institutions.
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
TX
09/14/2021 - Present
Wells Fargo Clearing Services, LLC (EL PASO TX)
TX
05/15/2017 - 05/17/2018
FIRST COMMAND FINANCIAL PLANNING, INC. (EL PASO TX)
TX
01/25/2016 - 05/18/2017
CHARLES SCHWAB & CO., INC. (El Paso TX)
BOTH
Issued 12/16/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/30/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 05/17/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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