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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 Kwokkieh Lo is a financial advisor with Wells Fargo Clearing Services, LLC. Stephen Lo has been in the financial industry since 1993. Stephen Lo is licensed to provide investment advice in Arizona, California, Colorado, Florida, Nebraska, Nevada, New York, Ohio, Pennsylvania, Tennessee, Texas, and Washington. Stephen Lo is also a Certified Financial Planner. Stephen Lo has been registered with Wells Fargo Advisors LLC since 2011 and with Wells Fargo Clearing Services, LLC since 2016. Stephen Lo has experience with various investment strategies and financial planning. Stephen Lo is committed to helping clients achieve their financial goals.
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.
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CA
11/09/2016 - Present
Wells Fargo Clearing Services, LLC (FOSTER CITY CA)
CA
08/08/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (FOSTER CITY CA)
CA
02/16/2006 - 08/11/2008
WAMU INVESTMENTS, INC. (PORTOLA VALLEY CA)
CA
03/10/2004 - 02/06/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
TX
06/05/1998 - 02/20/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
09/07/1996 - 03/13/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NY
12/21/1995 - 08/22/1996
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
06/08/1995 - 12/05/1995
ASB FINANCIAL SERVICES (IRVINE CA)
CA
12/09/1993 - 06/02/1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
OR
10/07/1991 - 05/12/1992
PAULSON INVESTMENT COMPANY, INC. (PORTLAND OR)
IA
Issued 10/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/21/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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