Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Tompkins is an active financial advisor with over 28 years of experience in the financial services industry. Stephen holds Series 7, 9, 10, 63 and SIE licenses and is registered in multiple states. Stephen is currently affiliated with Independent Advisor Alliance, LLC, and has also held previous positions with Wells Fargo Clearing Services, LLC and A. G. Edwards & Sons, Inc. Stephen specializes in providing financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses.
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.
A percentage of the total value of assets under management is charged.
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2
SC
11/23/2020 - Present
Independent Advisor Alliance, LLC (Clemson SC)
SC
01/01/2008 - 11/11/2020
WELLS FARGO CLEARING SERVICES, LLC (SENECA SC)
SC
10/04/1994 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SENECA SC)
BC
Issued 10/12/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/22/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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