Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Woodward is a financial advisor with Wells Fargo Clearing Services, LLC, based in San Jose, CA. Stephen has been in the financial services industry since 2011. Stephen has a strong track record of providing financial advice to individuals and families. Stephen is a Certified Financial Planner and holds several industry licenses, including Series 7, 9, 10, 66, and SIE. Prior to joining Wells Fargo Clearing Services, LLC, Stephen worked as a financial advisor for J.P. Morgan Securities LLC. Stephen is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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.
Investment consulting services to institutional clients
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.
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2
CA
01/30/2023 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
CA
11/01/2013 - 01/14/2023
J.P. MORGAN SECURITIES LLC (Cupertino CA)
CA
05/12/2011 - 09/03/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
BOTH
Issued 07/13/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/30/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/13/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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