Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Simon is a financial advisor at Stifel, Nicolaus & Company, Inc. Stephen has been in the industry since July 4, 2019. Stephen has a wide range of experience in providing financial advice to individuals, families, businesses, and institutions. Stephen's expertise includes financial planning, portfolio management, and investment advisory services. Stephen is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 52, 63, and 66 licenses. Stephen is also a Certified Financial Planner.
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.
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.
1
2
CA
04/23/2021 - Present
Stifel, Nicolaus & Company, Inc. (SAN FRANCISCO CA)
CA
08/03/2016 - 05/24/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SAN FRANCISCO CA)
BOTH
Issued 04/22/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/28/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/05/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/24/2017
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2016
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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