Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Lipmann is a financial advisor with over 30 years of experience in the industry. Stephen is currently registered with Morgan Stanley, and has previously been registered with Morgan Stanley & Co. LLC, E*TRADE SECURITIES LLC, DEAN WITTER REYNOLDS INC., SOUNDVIEW FINANCIAL GROUP, INC. and MCKINLEY ALLSOPP, INC. Stephen has a strong track record of success in helping clients achieve their financial goals. Stephen holds the Series 7, Series 16, and SIE licenses, and is a registered representative of Morgan Stanley.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/01/2009 - Present
Morgan Stanley (PURCHASE NY)
NJ
12/10/2020 - 09/05/2023
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NY
09/06/1994 - 07/02/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CT
02/14/1990 - 04/14/1992
SOUNDVIEW FINANCIAL GROUP, INC. (OLD GREENWICH CT)
NA
10/25/1989 - 02/08/1990
MCKINLEY ALLSOPP, INC.
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1996
Series 7 - General Securities Representative Examination
BC
Issued 08/31/1994
Series 16 - NYSE Supervisory Analyst Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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