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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 Wathen is an investment advisor representative with Cresset Asset Management, LLC. Stephen Wathen is also a Registered Representative. Stephen Wathen has been in the industry since 1999. Prior to joining Cresset Asset Management, LLC, Stephen Wathen was employed by Hightower Securities, LLC. Stephen Wathen holds the Series 63, 66, 7, 9, 10, and SIE licenses. Stephen Wathen has been active in the industry for over 20 years and has extensive experience in providing financial advice to individuals and businesses.
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.
Tax services, bookkeeping, financial reporting, clerical assistance in other financial matters
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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IL
06/25/2020 - Present
Cresset Asset Management, LLC (CHICAGO IL)
VA
08/03/2011 - 03/10/2016
HIGHTOWER SECURITIES, LLC (RESTON VA)
DC
07/29/2010 - 08/02/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)
DC
01/29/2010 - 07/02/2010
MORGAN STANLEY SMITH BARNEY (WASHINGTON DC)
DC
12/22/2009 - 01/26/2010
WELLS FARGO ADVISORS, LLC (WASHINGTON DC)
DC
06/01/2009 - 11/27/2009
MORGAN STANLEY SMITH BARNEY (WASHINGTON DC)
MD
02/13/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BALTIMORE MD)
DC
07/01/2003 - 01/14/2008
WACHOVIA SECURITIES, LLC (WASHINGTON DC)
NY
01/05/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 11/18/2005
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 04/12/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/07/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/15/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/10/2016
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/1998
Series 7 - General Securities Representative Examination
Active
Inactive
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