Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen O'Flaherty is an investment advisor representative associated with Stifel, Nicolaus & Company, Inc. Stephen has been in the securities industry for over 17 years. Stephen has a Series 7, Series 63, and Series 65 license. Stephen provides financial planning, portfolio management for businesses and individuals, pension consulting, and educational seminars. Stephen also has a previous employment history with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley Smith Barney.
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.
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.
1
2
NY
09/19/2024 - Present
Stifel, Nicolaus & Company, Inc. (POUGHKEEPSIE NY)
NY
05/05/2011 - 12/21/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (POUGHKEEPSIE NY)
NY
06/01/2009 - 05/13/2011
MORGAN STANLEY SMITH BARNEY (KINGSTON NY)
NJ
10/13/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PARAMUS NJ)
IA
Issued 11/15/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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