Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Grote is a financial advisor with Wells Fargo Advisors Financial Network, LLC. Stephen has been in the financial industry for over 38 years. Stephen is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 9, 10, 63 and 65 licenses. Stephen is also a Registered Investment Advisor in the state of Ohio. Stephen has experience providing financial planning, portfolio management, and investment consulting services to individuals, businesses, and institutions. Stephen also owns Professional Investment Consulting LLC.
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.
1
2
OH
10/23/2007 - Present
Wells Fargo Advisors Financial Network, LLC (CINCINNATI OH)
OH
10/12/2007 - 10/16/2007
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CINCINNATI OH)
OH
02/21/1995 - 10/12/2007
WACHOVIA SECURITIES, LLC (CINCINNATI OH)
NY
08/21/1987 - 03/03/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
07/24/1985 - 08/28/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 08/10/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/15/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/29/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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