Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Krochmal is a financial professional with over 30 years of experience in the financial services industry. Stephen is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since July 2019. Prior to joining Wells Fargo Clearing Services, LLC Stephen was with Ameriprise Financial Services, Inc. Stephen is also a registered Investment Advisor Representative. Stephen offers a variety of financial services including financial planning, portfolio management, and investment consulting services to institutional clients.
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.
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2
CA
07/26/2019 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
12/26/2014 - 07/30/2019
AMERIPRISE FINANCIAL SERVICES, INC. (WALNUT CREEK CA)
CA
05/11/1999 - 01/02/2015
MML INVESTORS SERVICES, LLC (WALNUT CREEK CA)
NY
01/02/1998 - 04/22/1999
CADARET, GRANT & CO., INC. (SYRACUSE NY)
NY
05/19/1997 - 01/02/1998
AIG EQUITY SALES CORP. (NEW YORK NY)
MA
08/06/1993 - 05/14/1997
SUN INVESTMENT SERVICES COMPANY (WELLESLEY HILLS MA)
IA
Issued 09/20/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2002
Series 7 - General Securities Representative Examination
BC
Issued 08/04/1993
Series 6 - Investment Company Products/Variable Contracts 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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