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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 Straty is a financial advisor with over 25 years of experience in the industry. Stephen has been with Sanders Morris LLC since June 2021. Before joining Sanders Morris LLC, Stephen was with JEFFERIES LLC and BEAR, STEARNS & CO. INC.. Stephen is a Series 63, 7, 9, 10, 24 and 79TO registered representative. Stephen is also a Registered Options Principal. Stephen's experience and credentials make him a valuable asset to any investor looking for 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.
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.
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.
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.
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2
TX
06/29/2021 - Present
Sanders Morris LLC (Dallas TX)
TX
06/12/2008 - 07/18/2019
JEFFERIES LLC (DALLAS TX)
TX
11/23/1992 - 06/19/2008
BEAR, STEARNS & CO. INC. (DALLAS TX)
BC
Issued 11/02/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 11/10/1994
Series 24 - General Securities Principal Examination
BC
Issued 07/21/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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