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 Tomkins is a financial advisor at Oppenheimer & Co. Inc. He has been a registered representative since July 28, 1989, and has experience working with a variety of clients including high-net-worth individuals, corporations, and pension plans. Stephen has a strong focus on portfolio management and financial planning. He is also a registered Investment Advisor Representative. Stephen Tomkins provides services to a wide range of clients, including individuals, corporations, and pension plans.
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.
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.
1
2
NY
04/07/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NJ
11/24/2000 - 04/06/2016
JANNEY MONTGOMERY SCOTT LLC (RED BANK NJ)
MO
06/30/1995 - 11/27/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
08/20/1990 - 07/07/1995
PRIME CHARTER LTD. (NEW YORK NY)
NY
11/01/1989 - 08/23/1990
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
08/04/1989 - 09/12/1989
COMMONWEALTH ASSOCIATES (NEW YORK NY)
BOTH
Issued 12/09/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/28/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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