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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Seplowe is a financial advisor with Next Financial Group, Inc. Stephen has been in the industry since December 1998. He is a registered representative in California and New York. Stephen holds the Series 7, Series 24, Series 63 and Series 65 licenses. He also holds the Securities Industry Essentials (SIE) exam. Prior to joining Next Financial Group, Inc., Stephen worked at First Allied Securities, Inc., Round Hill Securities, Inc., and Salomon Smith Barney Inc. Stephen provides financial planning, pension consulting, educational seminars and portfolio management for individuals, businesses and investment companies.
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.
Seminar/workshop attendance fees
1
2
NY
05/10/2021 - Present
Next Financial Group, Inc. (ALBANY NY)
NY
06/13/2005 - 11/25/2008
FIRST ALLIED SECURITIES, INC. (ALBANY NY)
CA
09/30/2002 - 06/13/2005
ROUND HILL SECURITIES, INC. (ALAMO CA)
NY
12/02/1998 - 10/08/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 12/23/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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