Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Breig is a financial advisor at Wells Fargo Clearing Services, LLC. Stephen has been in the financial industry since 1996. Stephen is a CERTIFIED FINANCIAL PLANNER™ professional and holds the Series 7, Series 63, and SIE licenses. Stephen specializes in investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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.
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.
Investment consulting services to institutional clients
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.
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2
TX
09/26/2014 - Present
Wells Fargo Clearing Services, LLC (SAN ANTONIO TX)
TX
09/12/2008 - 10/06/2014
UBS FINANCIAL SERVICES INC. (SAN ANTONIO TX)
TX
10/18/2000 - 09/26/2008
CITIGROUP GLOBAL MARKETS INC. (SAN ANTONIO TX)
MA
04/07/1999 - 10/18/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
01/22/1998 - 04/09/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
RI
12/11/1996 - 01/31/1997
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
IA
Issued 11/27/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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