Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Jay Zales is a financial advisor with Janney Montgomery Scott LLC. Stephen has been in the industry since March 10, 1992 and has held previous roles at Wells Fargo Clearing Services, LLC, Prudential Securities Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Stephen holds Series 3, 7, 8, 9, 10, 63 and 65 licenses. Stephen specializes in providing financial planning, pension consulting, educational seminars and portfolio management services for individuals and businesses. Stephen is registered in 18 states and 2 jurisdictions.
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.
Fee plus commission
1
2
PA
02/03/2023 - Present
Janney Montgomery Scott LLC (WYNCOTE PA)
PA
07/01/2003 - 12/13/2017
WELLS FARGO CLEARING SERVICES, LLC (JENKINTOWN PA)
NY
01/22/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/11/1992 - 01/26/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/02/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/1999
Series 3 - National Commodity Futures Examination
BC
Issued 03/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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