Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Volpe is a financial advisor who has been in the industry since 1992. Stephen is currently registered with Osaic Institutions, Inc. and has a Series 7, Series 6, Series 63, and Series 65 licenses. He has prior experience at several firms including Royal Alliance Associates, Inc., CUNA Brokerage Services, Inc., Santander Securities LLC, LPL Financial LLC, and IFMG Securities, Inc. Stephen specializes in providing financial planning, pension consulting, and portfolio management for individuals.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
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2
RI
05/04/2022 - Present
Osaic Institutions, Inc. (Warwick RI)
RI
08/05/2019 - 05/03/2022
ROYAL ALLIANCE ASSOCIATES, INC. (WARWICK RI)
RI
11/13/2017 - 08/08/2019
CUNA BROKERAGE SERVICES, INC. (Warwick RI)
RI
09/19/2012 - 11/08/2017
SANTANDER SECURITIES LLC (RUMFORD RI)
MA
05/27/2008 - 09/20/2012
LPL FINANCIAL LLC (SWANSEA MA)
MA
06/30/2000 - 05/27/2008
IFMG SECURITIES, INC. (SEEKONK MA)
NY
06/14/1999 - 12/18/2000
CARLIN EQUITIES CORP. (NEW YORK NY)
NY
10/13/1993 - 09/09/1998
BARCLAY INVESTMENTS, INC. (NEW YORK NY)
NJ
12/08/1987 - 07/26/1989
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 06/23/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/18/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/12/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1993
Series 7 - General Securities Representative Examination
BC
Issued 12/07/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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