Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Maxwell Trauber is a financial advisor with Moelis & Co. LLC. Stephen is based in Houston, Texas. Stephen Trauber has over 30 years of experience in the financial services industry and has been registered with the Financial Industry Regulatory Authority (FINRA) since 1988. Stephen is also a registered representative with the state of Texas.
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.
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.
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TX
03/20/2024 - Present
Moelis & Co. LLC (HOUSTON TX)
TX
03/08/2011 - 10/24/2022
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
TX
10/28/2003 - 09/22/2010
UBS SECURITIES LLC (HOUSTON TX)
NY
07/10/1995 - 11/13/2003
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
10/19/1988 - 07/19/1995
CS FIRST BOSTON CORPORATION (NEW YORK NY)
BC
Issued 11/09/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/22/2001
Series 24 - General Securities Principal 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 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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