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 Patterson is a financial advisor with Ameriprise Financial Services, LLC. Stephen has been in the financial services industry since 1989. Stephen is registered to provide investment advice in Arizona, California, Colorado, Illinois, Louisiana, New York, Tennessee and Texas. Prior to joining Ameriprise Financial Services, LLC, Stephen worked at Raymond James Financial Services, Inc., D.A. Davidson & Co., Crowell Weedon & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, WM Financial Services, Inc., Griffin Financial Services, FIMCO Securities Group, Inc., United California Securities, Inc., First Cambridge Securities Corporation, International Business Securities, Inc., Kensington Securities, Inc., Columbus Financial, Inc., Robert Todd Financial Corp., Yaeger Securities, Inc., AGFC Investment Securities and Trafalgar Securities Corp. Stephen holds a Series 7, Series 9, Series 10, Series 24, Series 26 and Series 66 license. Stephen specializes in providing financial planning, pension consulting, asset allocation services, educational seminars, publication of periodicals, selection of other advisors, portfolio management for businesses, portfolio management for individuals.
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.
Asset allocation services
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.
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2
CA
09/18/2023 - Present
Ameriprise Financial Services, LLC (WESTLAKE VILLAGE CA)
CA
09/14/2015 - 09/27/2023
RAYMOND JAMES FINANCIAL SERVICES, INC. (Indian Wells CA)
CA
11/25/2013 - 09/14/2015
D.A. DAVIDSON & CO. (WESTLAKE VILLAGE CA)
CA
11/04/2013 - 11/25/2013
CROWELL WEEDON & CO. (WESTLAKE VILLAGE CA)
CA
05/08/2009 - 11/04/2013
CROWELL, WEEDON & CO. (WESTLAKE VILLAGE CA)
CA
06/04/2004 - 05/11/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ENCINO CA)
CA
01/01/1999 - 06/01/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NA
02/20/1998 - 01/01/1999
GRIFFIN FINANCIAL SERVICES
WI
10/07/1997 - 03/09/1998
FIMCO SECURITIES GROUP, INC. (PORT WASHINGTON WI)
CA
05/16/1997 - 10/06/1997
UNITED CALIFORNIA SECURITIES, INC. (ENCINO CA)
NY
03/18/1996 - 01/31/1997
FIRST CAMBRIDGE SECURITIES CORPORATION (NEW YORK NY)
CA
01/19/1996 - 03/22/1996
INTERNATIONAL BUSINESS SECURITIES, INC. (CULVER CITY CA)
CA
06/26/1995 - 12/21/1995
KENSINGTON SECURITIES, INC. (ALISO VIEJO CA)
CA
10/17/1994 - 06/14/1995
COLUMBUS FINANCIAL, INC. (BEVERLY HILLS CA)
NY
01/01/1994 - 11/02/1994
ROBERT TODD FINANCIAL CORP. (NEW YORK NY)
NA
06/04/1993 - 12/02/1993
YAEGER SECURITIES, INC.
NA
08/19/1987 - 05/10/1989
AGFC INVESTMENT SECURITIES
NA
03/04/1985 - 08/04/1987
TRAFALGAR SECURITIES CORP.
BOTH
Issued 07/26/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/04/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/13/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/27/1994
Series 24 - General Securities Principal Examination
BC
Issued 08/24/1987
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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