Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Golliher is a financial advisor who has been in the industry since 1982. Stephen has held numerous positions at various firms, including J.J.B. Hilliard, W.L. Lyons, LLC, Citigroup Global Markets Inc., and Lehman Brothers Inc. Stephen is currently registered with Robert W. Baird & Co. Inc. and is licensed to sell securities in Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Stephen has a Series 3, Series 7, Series 63, and Series 65 license. Stephen is an active member of the financial services industry and has a strong commitment to providing clients with personalized financial advice.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
TN
10/18/2019 - Present
Robert W. Baird & Co. Inc. (Knoxville TN)
TN
03/06/2009 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (KNOXVILLE TN)
TN
07/31/1993 - 04/01/2009
CITIGROUP GLOBAL MARKETS INC. (KNOXVILLE TN)
NY
01/03/1983 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/24/1982 - 01/10/1983
CAPITAL ANALYSTS, INCORPORATED
IA
Issued 12/20/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/03/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/1983
Series 3 - National Commodity Futures Examination
BC
Issued 11/20/1982
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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