Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Hatton is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has been in the financial services industry since 1992 and has experience in a variety of areas, including investment advisory, portfolio management, and securities trading. Stephen is registered with the Financial Industry Regulatory Authority (FINRA) and holds a Series 7, 6, 63, and 65 license. Stephen is also a Registered Representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has held previous positions at Prudential Securities Incorporated and Prudential Investment Management Services 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.
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
NY
10/14/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NJ
10/02/2003 - 07/15/2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
03/04/2002 - 07/02/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
01/01/1997 - 01/24/2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
05/23/1994 - 01/01/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
06/23/1988 - 05/10/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
05/24/1988 - 06/15/1988
DEAN WITTER REYNOLDS INC.
NA
03/11/1988 - 06/02/1988
GLICKENHAUS & CO. - NEW JERSEY
NA
08/13/1986 - 02/24/1988
EQUICO SECURITIES, INC.
NA
08/13/1986 - 02/23/1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BOTH
Issued 10/10/2013
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/21/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1994
Series 7 - General Securities Representative Examination
BC
Issued 07/01/1986
Series 6 - Investment Company Products/Variable Contracts 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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