Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen J Ketchum is a financial advisor with over 25 years of experience in the financial services industry. Stephen is currently registered with National Financial Services LLC and has been with them since January 2022. Stephen has previously been with firms such as Fidelity Brokerage Services LLC, Transamerica Financial Advisors, Inc, World Group Securities, Inc, and Fidelity Investments Institutional Services Company, Inc. Stephen holds a variety of licenses including Series 6, 7, 9, 10, 26, 63 and 65.
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.
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.
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KY
01/07/2022 - Present
National Financial Services LLC (COVINGTON KY)
KY
10/22/2012 - 11/18/2021
FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)
OH
01/06/2012 - 09/12/2012
TRANSAMERICA FINANCIAL ADVISORS, INC (MILFORD OH)
OH
05/24/2011 - 01/06/2012
WORLD GROUP SECURITIES, INC. (MILFORD OH)
KY
07/31/2006 - 05/04/2007
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (COVINGTON KY)
RI
10/30/1991 - 12/31/2004
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
03/06/1990 - 10/25/1991
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BC
Issued 11/19/2012
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/08/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/27/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/17/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/27/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2012
Series 7 - General Securities Representative Examination
BC
Issued 05/23/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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