Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Paul Polizzi is a registered representative with Neuberger Berman BD LLC and has over 20 years of experience in the financial services industry. Stephen has held prior positions with MML Investors Services, LLC, Morgan Stanley, Morgan Stanley Smith Barney, Raymond James Financial Services, Inc., Tower Square Securities, Inc., ING Financial Advisers, LLC, Morgan Stanley & Co., Incorporated, Morgan Stanley DW Inc., and Diversified Investors Securities Corp. Stephen is a Certified Financial Planner® and holds Series 6, 7, 63 and 65 licenses.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
NY
03/18/2021 - Present
Neuberger Berman BD LLC (NEW YORK NY)
NY
03/25/2014 - 09/01/2017
MML INVESTORS SERVICES, LLC (NEW YORK NY)
NY
02/09/2012 - 08/28/2013
MORGAN STANLEY (MELVILLE NY)
CT
03/10/2010 - 01/06/2012
MORGAN STANLEY SMITH BARNEY (STAMFORD CT)
CT
07/09/2009 - 02/25/2010
RAYMOND JAMES FINANCIAL SERVICES, INC. (RIDGEFIELD CT)
NY
06/12/2009 - 06/25/2009
TOWER SQUARE SECURITIES, INC. (WHITE PLAINS NY)
NY
05/29/2007 - 02/04/2009
ING FINANCIAL ADVISERS, LLC (NEW YORK NY)
NY
04/02/2007 - 04/30/2007
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
02/24/2006 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
02/29/2000 - 01/13/2006
DIVERSIFIED INVESTORS SECURITIES CORP. (HARRISON NY)
IA
Issued 03/01/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/28/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2006
Series 7 - General Securities Representative Examination
BC
Issued 02/28/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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