Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Miles Weatherly is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since May 1994. Stephen Weatherly has experience working with various client types, including individuals, corporations, high-net-worth individuals, pension and profit-sharing plans, and charitable organizations. Stephen Weatherly holds several licenses and registrations, including Series 3, 7, 8, 31, and 63.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
TN
12/10/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MEMPHIS TN)
TN
10/04/2002 - 12/16/2008
UBS FINANCIAL SERVICES INC. (MEMPHIS TN)
MO
05/14/1999 - 10/17/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NY
05/06/1994 - 05/20/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 05/27/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/24/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 04/23/1996
Series 3 - National Commodity Futures Examination
BC
Issued 05/02/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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