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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Platter is a financial advisor with over 30 years of experience in the financial services industry. Stephen is currently registered with Morgan Stanley and is licensed to provide investment advice in California and Texas. Stephen is also a registered representative of Morgan Stanley and can provide a variety of investment products and services, including investment advisory services, brokerage services, and financial planning. Prior to joining Morgan Stanley, Stephen was with UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
CA
03/19/2020 - Present
Morgan Stanley (Walnut Creek CA)
CA
05/26/2006 - 06/20/2011
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
CA
10/22/1992 - 06/01/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WALNUT CREEK CA)
IA
Issued 09/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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