Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Louis Fochtman is a financial professional with over 29 years of experience in the industry. Stephen is currently registered with Bernstein Institutional Services LLC and is a General Securities Principal with a Series 24 license. Stephen has been with Bernstein Institutional Services LLC since 03/29/2024 and previously worked for Sanford C. Bernstein & Co., LLC. Stephen's professional experience includes working for Cowen Prime Services LLC, Cowen and Company, Cowen & Co., and Dean Witter Reynolds Inc.. Stephen's areas of expertise include commodities and securities trading, and Stephen holds licenses for Securities Trader Exam (Series 57TO), Securities Industry Essentials Examination (SIE), Limited Representative-Equity Trader Exam (Series 55), National Commodity Futures Examination (Series 3), and General Securities Representative Examination (Series 7). Stephen is registered with the Financial Industry Regulatory Authority (FINRA) and holds a Series 63 license. Stephen is registered with the Securities Investor Protection Corporation (SIPC).
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
1
2
NY
03/29/2024 - Present
Bernstein Institutional Services LLC (NEW YORK NY)
NY
04/26/2021 - 03/29/2024
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NJ
07/22/2020 - 04/26/2021
COWEN PRIME SERVICES LLC (Iselin NJ)
NY
07/01/1998 - 07/23/2020
COWEN AND COMPANY (NEW YORK NY)
NY
04/22/1997 - 07/01/1998
COWEN & CO. (NEW YORK NY)
NY
05/09/1994 - 03/31/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 03/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/22/1994
Series 3 - National Commodity Futures Examination
BC
Issued 05/06/1994
Series 7 - General Securities 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
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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