Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Hart McNulty is a financial advisor who has been in the industry for 29 years. Stephen is a registered representative with Fidelity Personal AND Workplace Advisors. Stephen is also registered as an investment advisor representative in California. Stephen has several professional designations and licenses, including Series 3, 7, 9, 10, 24, 53, 55, 57TO and 65, 66. Stephen's previous experience includes roles at VT Brokers, LLC, Thinkorswim, Inc, Newedge USA, LLC, FIMAT Preferred LLC, PreferredTrade, Inc, Salomon Smith Barney Inc, Pacific Genesis Group, Inc, Cadre Securities, Inc, MAFG RIA Services, Inc, Prudential Securities Incorporated, Lehman Brothers Inc, and Dean Witter Reynolds Inc.
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.
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.
1
2
MA
10/28/2019 - Present
Fidelity Personal AND Workplace Advisors (BOSTON MA)
NJ
09/21/2011 - 04/10/2012
VT BROKERS, LLC (ENGLEWOOD NJ)
IL
04/02/2009 - 09/30/2009
THINKORSWIM, INC. (CHICAGO IL)
CA
01/01/2007 - 02/03/2009
NEWEDGE USA, LLC (SAN FRANCISCO CA)
IL
07/01/2005 - 01/03/2007
FIMAT PREFERRED LLC (CHICAGO IL)
CA
12/08/1999 - 07/01/2005
PREFERREDTRADE, INC. (SAN FRANCISCO CA)
NY
06/25/1999 - 12/06/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
CA
10/14/1998 - 06/30/1999
PACIFIC GENESIS GROUP, INC. (ALAMEDA CA)
CT
11/14/1997 - 07/27/1998
CADRE SECURITIES, INC. (GREENWICH CT)
NJ
10/10/1995 - 12/07/1995
MAFG RIA SERVICES, INC. (MT. LAUREL NJ)
NY
03/25/1994 - 03/09/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/05/1991 - 04/04/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/20/1989 - 03/04/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 01/05/2013
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/29/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/19/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/06/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/16/1999
Series 4 - Registered Options Principal Examination
BC
Issued 09/15/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/15/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2001
Series 3 - National Commodity Futures Examination
BC
Issued 07/19/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/17/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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