Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Sykes is a financial professional with over 28 years of experience in the industry. He has a broad range of experience with both broker-dealer and investment advisor roles, and has held licenses in multiple states. Stephen is currently registered as an investment advisor representative with Janney Montgomery Scott LLC, and is also registered as a broker with the firm in multiple states. He has previously worked with firms such as Raymond James & Associates, INC. and UBS Financial Services Inc. Stephen specializes in providing a variety of financial services, including financial planning, portfolio management, and educational seminars.
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.
Fee plus commission
1
2
MA
09/06/2023 - Present
Janney Montgomery Scott LLC (Pittsfield MA)
MA
05/15/2009 - 09/11/2023
RAYMOND JAMES & ASSOCIATES, INC. (PITTSFIELD MA)
MA
06/11/1996 - 06/04/2009
UBS FINANCIAL SERVICES INC. (PITTSFIELD MA)
MI
07/28/1995 - 06/26/1996
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 09/11/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/09/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/1995
Series 7 - General Securities Representative Examination
BC
Issued 07/27/1995
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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