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 Connaughton is a registered representative with Oppenheimer & Co. Inc. Stephen has been in the industry since March 1993. Stephen is licensed to provide securities and investment advisory services in multiple states including Rhode Island and Texas. Stephen has a diverse background, having worked for several firms including A. G. Edwards & Sons, Inc., Gruntal & Co., L.L.C., and Fechtor, Detwiler & Co., Inc. Stephen has a strong track record of success in the financial services industry.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
RI
05/17/2017 - Present
Oppenheimer & Co. Inc. (PROVIDENCE RI)
MO
11/03/2000 - 06/28/2004
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
03/04/1996 - 11/09/2000
GRUNTAL & CO., L.L.C. (NEW YORK NY)
MA
03/25/1993 - 03/06/1996
FECHTOR, DETWILER & CO., INC. (BOSTON MA)
IA
Issued 02/22/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/26/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/28/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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