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. Mazzei is a financial advisor registered with Raymond James Financial Services Advisors, Inc. in Kingston, NY. Stephen has been in the industry since July 1987 and has experience working with individuals, families, and businesses. Stephen is licensed to provide investment advice and sell securities in a number of states. Stephen J. Mazzei has worked with clients on a variety of financial planning needs including retirement planning, investment management, and college savings. Stephen J. Mazzei previously worked with MORGAN STANLEY and CITIGROUP GLOBAL MARKETS INC. Stephen J. Mazzei holds the Series 3, 7, 9, 10, 63 and SIE licenses.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NY
07/08/2021 - Present
Raymond James Financial Services Advisors, Inc. (Kingston NY)
NY
06/01/2009 - 11/27/2012
MORGAN STANLEY (KINGSTON NY)
NY
04/08/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (KINGSTON NY)
NY
07/28/1988 - 04/08/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
07/21/1987 - 07/25/1988
KOPSTEIN, VAN ALEN & CO., INC.
BC
Issued 07/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/14/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/14/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2009
Series 3 - National Commodity Futures Examination
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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