Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Pincin is an investment advisor representative with Raymond James Financial Services Advisors, Inc., based in Brea, CA. Stephen has over 27 years of experience in the financial services industry, working with clients of all types, from high-net-worth individuals to corporations and pension plans. Stephen is a registered representative and investment advisor representative in a variety of states. Stephen is committed to providing clients with personalized financial planning and investment management services, with a focus on developing customized strategies to meet their individual needs. Previously, Stephen worked with Wells Fargo Advisors Financial Network, LLC, and Wachovia Securities, LLC.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
10/29/2021 - Present
Raymond James Financial Services Advisors, Inc. (BREA CA)
CA
12/12/2008 - 06/23/2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (BREA CA)
CA
10/04/2002 - 12/16/2008
WACHOVIA SECURITIES, LLC (ANAHEIM CA)
NJ
08/17/1998 - 10/28/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
09/12/1994 - 08/25/1998
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 09/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/03/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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