Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Schmitt is an Investment Advisor Representative at Saxony Capital Management, LLC. Stephen has been in the financial services industry since 2011. Stephen has Series 6, 63, 65 and 26 licenses. Stephen is registered in Colorado, Florida, New Jersey, Pennsylvania and Texas. Stephen's previous employers include Trinity Wealth Securities, L.L.C., Mutual of Omaha Investor Services, Inc., Purshe Kaplan Sterling Investments and Voya Financial Advisors, Inc.
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.
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.
A percentage of the total value of assets under management is charged.
Consulting fees to ria's, finders fees, fees third party manager
1
2
NJ
10/25/2024 - Present
Saxony Capital Management, LLC (Marlton NJ)
PA
10/28/2019 - 10/26/2022
TRINITY WEALTH SECURITIES, L.L.C. (Philadelphia PA)
NJ
06/28/2016 - 11/01/2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC. (MARLTON NJ)
NJ
10/03/2014 - 06/08/2016
PURSHE KAPLAN STERLING INVESTMENTS (Jersey City NJ)
MA
08/12/2011 - 10/03/2014
VOYA FINANCIAL ADVISORS, INC. (BOSTON MA)
IA
Issued 04/05/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/01/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/02/2019
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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