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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen K Wallace is a registered investment advisor with Raymond James & Associates, Inc. based in Knoxville, TN. Stephen has been in the industry since January 20, 1987. Stephen is a licensed investment advisor and has passed both the Series 7 and Series 65 exams. Stephen also holds Series 63 license. Raymond James & Associates, Inc. is a large investment firm that manages over $433 billion in assets. Stephen's firm primarily serves individuals, high-net-worth individuals, corporations, and businesses, but also works with trusts, pension plans, and charitable organizations. The firm provides a variety of advisory services including financial planning, portfolio management, and selection of other advisors.
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.
Please see note in schedule d - miscellaneous
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
TN
10/01/2019 - Present
Raymond James & Associates, Inc. (KNOXVILLE TN)
TN
06/24/1994 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (KNOXVILLE TN)
NY
01/21/1987 - 07/12/1994
J.C. BRADFORD & CO. (NEW YORK NY)
IA
Issued 11/19/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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