Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen James is a financial advisor with over 30 years of experience in the industry. Stephen is currently registered with Commonwealth Financial Network and Severn Financial Advisors, LLC. Stephen has a wide range of experience in providing financial advice to individuals, businesses, and institutions. Stephen holds the Series 6, 7, 24, 63, and 65 licenses. Stephen is also a Certified Financial Planner.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
MD
03/15/2017 - Present
Commonwealth Financial Network (Annapolis MD)
MD
01/21/2009 - 03/17/2017
CAMBRIDGE INVESTMENT RESEARCH, INC. (ANNAPOLIS MD)
MD
10/31/2005 - 01/27/2009
SAGEPOINT FINANCIAL, INC. (ANNAPOLIS MD)
AZ
05/19/1992 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NA
11/02/1990 - 05/19/1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
MN
01/06/1987 - 11/09/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
IA
Issued 09/17/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/29/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1987
Series 7 - General Securities Representative Examination
BC
Issued 01/05/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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