Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Mosca is a financial advisor with over 30 years of experience in the industry. Currently, Stephen is a registered representative at Stifel, Nicolaus & Company, Inc. Stephen has a wide range of experience and expertise, including financial planning, portfolio management, and pension consulting.
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.
1
2
NY
04/20/2021 - Present
Stifel, Nicolaus & Company, Inc. (HAUPPAUGE NY)
NY
01/01/2008 - 03/04/2010
WELLS FARGO ADVISORS, LLC (SMITHTOWN NY)
NY
03/31/1994 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SMITHTOWN NY)
NY
06/07/1990 - 04/08/1994
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
NY
04/18/1990 - 05/24/1990
ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)
NA
03/20/1990 - 04/11/1990
WELLSHIRE SECURITIES, INC.
BC
Issued 04/16/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/18/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/06/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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