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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Bernstein is a financial advisor with over 28 years of experience in the industry. Stephen is registered with Morgan Stanley and has a wide range of experience and expertise in investment advising. Stephen holds a Series 7, Series 31 and Series 63 license as well as the SIE exam. In addition, Stephen has successfully passed the Series 65 exam. Stephen is also registered to provide investment advice in several states across the US. Stephen has previously worked at Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., RBC Dain Rauscher Inc. and Tucker Anthony Incorporated, and Financial Northeastern Securities, Inc. Stephen has built a solid reputation for providing tailored financial advice and investment strategies to his clients.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
04/15/2020 - Present
Morgan Stanley (Morristown NJ)
NJ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MORRISTOWN NJ)
NJ
06/22/2005 - 04/02/2007
MORGAN STANLEY DW INC. (MORRISTOWN NJ)
NY
03/09/2002 - 07/06/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
09/01/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NJ
09/11/1996 - 09/01/1999
GIBRALTAR SECURITIES CO. (FLORHAM PARK NJ)
NJ
03/17/1994 - 09/09/1996
FINANCIAL NORTHEASTERN SECURITIES, INC. (FAIRFIELD NJ)
IA
Issued 02/19/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/25/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 04/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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