Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Astle is an investment professional with over 30 years of experience in the financial services industry. Stephen is registered with Commonwealth Financial Network, and offers investment advisory services to individuals, high net worth individuals, corporations, charitable organizations, and pension and profit sharing plans. Stephen is a registered representative of Commonwealth Financial Network and is licensed to sell securities in numerous states. Stephen also holds licenses to operate as an investment advisor representative in Arizona, California, and Oregon. Stephen's previous experience includes roles with firms such as Raymond James & Associates, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Salomon Smith Barney Inc., Prudential Securities Incorporated, Sutro & Co. Incorporated, and Drexel Burnham Lambert Incorporated. Stephen has a deep understanding of the financial markets and a commitment to providing his clients with personalized financial advice and investment management services.
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
OR
05/09/2022 - Present
Commonwealth Financial Network (Portland OR)
CA
02/21/2014 - 07/29/2015
RAYMOND JAMES & ASSOCIATES, INC. (SAN DIEGO CA)
CA
12/04/2009 - 02/24/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIAN WELLS CA)
NY
12/04/1992 - 08/08/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
07/16/1990 - 12/09/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
05/13/1988 - 07/26/1990
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
10/10/1986 - 06/21/1988
DREXEL BURNHAM LAMBERT INCORPORATED
NA
02/25/1985 - 10/10/1986
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
01/26/1984 - 02/01/1985
SUTRO & CO. INCORPORATED
BOTH
Issued 01/05/2010
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/01/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/31/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/2009
Series 7 - General Securities Representative Examination
BC
Issued 09/28/1995
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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