Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Lee Joseph is a financial advisor with over 40 years of experience in the industry. Stephen has been with Piper Sandler & Co. since January 2020 and previously worked at Sandler, O'Neill & Partners, L.P., Ewing Capital, Inc., Drexel Burnham Lambert Incorporated and Salomon Brothers Inc. Stephen is a registered representative with FINRA and holds Series 63, Series 7TO, Series 79TO, SIE, Series 41, Series 40, Series 24, Series 000, and Series 1 licenses. Stephen is also registered in 31 states.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
01/03/2020 - Present
Piper Sandler & Co. (NEW YORK NY)
NY
01/18/1994 - 01/03/2020
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
DC
04/02/1992 - 01/11/1994
EWING CAPITAL, INC. (WASHINGTON DC)
NA
08/27/1984 - 03/20/1990
DREXEL BURNHAM LAMBERT INCORPORATED
NA
08/14/1972 - 01/09/1984
SALOMON BROTHERS INC.
NA
08/18/1971 - 09/18/1971
REYNOLDS SECURITIES, INC.
BC
Issued 07/28/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/2003
Series 24 - General Securities Principal Examination
BC
Issued 12/12/1977
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1983
Series 41 - NYSE Allied Member Examination
BC
Issued 08/16/1971
Series 000 - General Securities Principal Examination
BC
Issued 08/16/1971
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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