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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Dooling is a registered investment advisor representative with Cambridge Investment Research Advisors, Inc. Stephen Dooling has been in the securities industry since June 19, 2003. Stephen Dooling is licensed in Iowa, Nebraska, New Hampshire, Florida, Oklahoma and the District of Columbia. Stephen Dooling is also registered as an investment advisor representative for Cambridge Investment Research Advisors, Inc. in Nebraska. Stephen Dooling has a Series 6, Series 7, Series 63, and Series 66 license. Stephen Dooling also holds the Securities Industry Essentials Examination (SIE) designation. Stephen Dooling has worked for Cambridge Investment Research, Inc. since September 2009 and for Cambridge Investment Research Advisors, Inc. since February 2012.
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.
Solicitation fees from 3rd party money managers
1
2
NE
02/06/2012 - Present
Cambridge Investment Research Advisors, Inc. (OMAHA NE)
CT
09/12/2002 - 12/15/2008
PLANCO FINANCIAL SERVICES, LLC (HARTFORD CT)
BOTH
Issued 02/01/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/25/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/2010
Series 7 - General Securities Representative Examination
BC
Issued 09/10/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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