Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Michael Cota is a registered representative with LPL Financial LLC and has been in the securities industry since August 6, 1996. Stephen has experience working with individuals, high-net-worth individuals, businesses, charitable organizations, pension and profit-sharing plans, and investment clubs. He has also worked for WAMU INVESTMENTS, INC. and MORGAN STANLEY DW INC. in the past. Stephen is licensed to offer securities in 17 states. He holds the Series 7, Series 24, Series 31 and SIE licenses. Stephen offers financial planning, portfolio management, and other advisory services 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.
Consulting and other non-discretionary advisory services
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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CA
09/08/2015 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
02/12/2004 - 08/06/2008
WAMU INVESTMENTS, INC. (SAN DIEGO CA)
NY
08/05/1996 - 02/09/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 08/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 08/02/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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