Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Koy Tapp is a financial advisor registered with Charles Schwab & CO., Inc. in Westlake, TX. Stephen has been in the financial industry since June 2004. Stephen also has previous experience with TD AMERITRADE, INC. and TD AMERITRADE CLEARING, INC. Stephen has passed the Uniform Securities Agent State Law Examination (Series 63), the Uniform Combined State Law Examination (Series 66), the General Securities Representative Examination (Series 7), the Registered Options Principal Examination (Series 4) and the General Securities Principal Examination (Series 24). Stephen is a registered representative and investment advisor representative in Texas.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
TX
10/04/2021 - Present
Charles Schwab & CO., Inc. (Westlake TX)
TX
01/27/2006 - 10/20/2021
TD AMERITRADE, INC. (Southlake TX)
TX
03/20/2018 - 12/31/2020
TD AMERITRADE CLEARING, INC. (Southlake TX)
TX
01/20/2010 - 10/19/2011
TD AMERITRADE CLEARING, INC. (FORT WORTH TX)
NE
06/10/2004 - 01/30/2006
AMERITRADE, INC. (OMAHA NE)
BOTH
Issued 11/10/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/15/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/2007
Series 4 - Registered Options Principal Examination
BC
Issued 02/15/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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