Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen K. Nzerem is a financial professional with over 7 years of experience in the securities industry. Stephen has held various roles at Wedbush Securities Inc. and Wells Fargo Clearing Services, LLC. Stephen is a registered representative of Wells Fargo Clearing Services, LLC and has been actively registered in California since October 2018. Stephen specializes in providing financial planning, portfolio management, and investment consulting services to a wide range of clients including individuals, corporations, and charitable organizations. Stephen holds a Series 7, 9, 10, 24, 27, 52, 53, 66, 99TO, and SIE license.
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
CA
10/23/2018 - Present
Wells Fargo Clearing Services, LLC (WOODLAND HILLS CA)
CA
08/22/2016 - 10/05/2018
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
BOTH
Issued 06/03/2017
Series 66 - Uniform Combined 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 10/23/2017
Series 4 - Registered Options Principal Examination
BC
Issued 07/22/2017
Series 27 - Financial and Operations Principal Examination
BC
Issued 02/11/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/22/2016
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 02/04/2017
Series 52 - Municipal Securities Representative Examination
BC
Issued 08/21/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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