Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen M. Dutton is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Stephen has over 25 years of experience in the financial services industry. Stephen has a diverse background, having previously worked for Wells Fargo Clearing Services, LLC, Raymond James Financial Services, Inc., Raymond James & Associates, Inc., E*TRADE SECURITIES LLC, Brownco, LLC and Oppenheimer & Co., Inc. Stephen is a Registered Representative and holds several licenses including Series 7, Series 9, Series 10, Series 63, Series 99TO and SIE. Stephen is currently licensed in Washington.
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
WA
12/08/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
03/24/2014 - 12/26/2019
WELLS FARGO CLEARING SERVICES, LLC (SEATTLE WA)
FL
01/02/2009 - 04/17/2013
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST PETERSBURG FL)
FL
01/28/2008 - 12/31/2008
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
FL
02/13/2006 - 05/22/2007
E*TRADE SECURITIES LLC (TAMPA FL)
MA
01/04/1996 - 05/08/2006
BROWNCO, LLC (BOSTON MA)
NY
12/07/1993 - 06/21/1995
OPPENHEIMER & CO., INC. (NEW YORK NY)
BC
Issued 1/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/30/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/6/1993
Series 7 - General Securities 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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