Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Dicarlo is an investment advisor representative registered in several states. Stephen has been working in the financial services industry since 2013 and has experience with a variety of financial products. Stephen is currently employed by RBC Capital Markets, LLC and has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, MFS Fund Distributors, Inc., AXA Advisors, LLC, and Putnam Retail Management Limited Partnership.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MA
07/22/2021 - Present
RBC Capital Markets, LLC (DANVERS MA)
MA
12/03/2015 - 07/23/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BURLINGTON MA)
MA
03/18/2014 - 07/21/2015
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
MA
01/07/2014 - 03/07/2014
AXA ADVISORS, LLC (WELLESLEY MA)
MA
08/14/2012 - 10/21/2013
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (ANDOVER MA)
BOTH
Issued 01/05/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/13/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2014
Series 7 - General Securities Representative Examination
BC
Issued 08/13/2012
Series 6 - Investment Company Products/Variable Contracts 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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