Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen John Yock is a registered representative with First Trust Advisors LP. Stephen has been in the financial services industry for 22 years. Stephen is a Series 6, 7, 24, 63, and 65 licensed professional. Stephen is registered to provide investment advisory services in Illinois. Stephen has previously worked for a variety of firms including Capital Brokerage Corporation, Genworth Financial Securities Corporation, Citigroup Global Markets Inc., ABN AMRO Financial Services, Inc., ABN AMRO Incorporated, Van Kampen Funds Inc., and Liberty Funds Distributor, Inc. Stephen is also a registered representative of First Trust Advisors LP.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fixed fees per unit (uits) for portfolio supervisory services
1
2
IL
01/11/2010 - Present
First Trust Advisors LP (WHEATON IL)
VA
04/21/2008 - 07/24/2009
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
IL
04/19/2004 - 04/21/2008
GENWORTH FINANCIAL SECURITIES CORPORATION (SCHAUMBURG IL)
NY
01/28/2002 - 03/26/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IL
01/18/2001 - 08/15/2001
ABN AMRO FINANCIAL SERVICES, INC. (CHICAGO IL)
CT
02/28/2000 - 01/18/2001
ABN AMRO INCORPORATED (STAMFORD CT)
TX
02/02/2000 - 02/23/2000
VAN KAMPEN FUNDS INC. (HOUSTON TX)
MA
02/22/1999 - 12/31/1999
LIBERTY FUNDS DISTRIBUTOR, INC. (BOSTON MA)
IA
Issued 02/20/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/27/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2000
Series 7 - General Securities Representative Examination
BC
Issued 02/19/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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