Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Pavia is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has over 25 years of experience in the financial services industry. Stephen is a Series 7, Series 6, Series 63, and Series 65 licensed professional with a Series 26 principal license. Stephen previously worked with J.P. MORGAN SECURITIES LLC and Wells Fargo Clearing 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
04/26/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
CT
12/10/2019 - 03/09/2021
J.P. MORGAN SECURITIES LLC (STAMFORD CT)
CT
10/01/2000 - 12/11/2018
WELLS FARGO CLEARING SERVICES, LLC (GREENWICH CT)
NC
09/26/1995 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 04/05/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/17/1996
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/2009
Series 7 - General Securities Representative Examination
BC
Issued 09/25/1995
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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