Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Carter is a financial advisor with Stifel, Nicolaus & Company, Inc. located in Denver, CO. Stephen has been in the industry since 1977 and is a registered representative of Stifel, Nicolaus & Company, Inc. in Colorado and Texas. Stephen provides financial planning, portfolio management, and other services for individuals, businesses, and institutions.
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.
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
CO
10/04/2018 - Present
Stifel, Nicolaus & Company, Inc. (DENVER CO)
CO
08/12/2006 - 10/31/2013
UBS FINANCIAL SERVICES INC. (BOULDER CO)
CO
08/27/1992 - 08/12/2006
PIPER JAFFRAY & CO. (BOULDER CO)
MN
07/21/1999 - 09/04/2001
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
NY
05/22/1989 - 03/28/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
08/05/1987 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
07/26/1982 - 08/22/1987
BOETTCHER & COMPANY, INC.
NA
08/21/1981 - 06/09/1982
THE CHICAGO CORPORATION
NA
09/26/1978 - 08/11/1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
04/24/1975 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 08/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/25/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/1998
Series 3 - National Commodity Futures Examination
BC
Issued 04/19/1975
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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