Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Lalli is a financial advisor with over 35 years of experience in the financial services industry. Stephen is currently registered with Morgan Stanley & Co. LLC and has been with the firm since December 2002. Prior to joining Morgan Stanley, Stephen was employed by Warburg Dillon Read LLC and Goldman, Sachs & Co.. Stephen holds the Series 3, 4, 7, 24, 63, 99TO, and SIE licenses. Stephen is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.
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.
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.
1
2
CA
12/11/2002 - Present
Morgan Stanley & Co. LLC (San Francisco CA)
NY
03/20/2000 - 09/06/2002
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
04/17/1995 - 03/17/2000
WARBURG DILLON READ LLC (NEW YORK NY)
NY
01/21/1987 - 12/13/1994
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 03/06/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2014
Series 4 - Registered Options Principal Examination
BC
Issued 03/09/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/1991
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Stephen Lalli is the right advisor for you? Invested Better is here to help.
