Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Collie is an active investment advisor representative registered in North Carolina. Stephen has been in the industry since February 16, 2005, and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen was previously registered with WELLS FARGO ADVISORS, LLC. Stephen has a wide range of experience and expertise in the financial services industry, and is committed to providing clients with the highest level of service and personalized advice.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NC
09/30/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
01/19/2005 - 08/31/2011
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
IA
Issued 07/06/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/21/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/25/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/20/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/24/2008
Series 7 - General Securities Representative Examination
BC
Issued 01/18/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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