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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 Whitman is a financial advisor with over 35 years of experience in the industry. Stephen is currently registered with Morgan Stanley and holds a Series 7, 9, 10, 63 and 65 licenses. Stephen Whitman has worked at a number of firms including Wachovia Securities, LLC, Prudential Securities Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, PaineWebber Incorporated, IAF Securities, and Prudential-Bache Securities Inc. Stephen has a strong track record of providing investment advice and financial planning services to a wide range of clients, including individuals, families, and businesses. Stephen Whitman is a highly experienced and qualified financial advisor with a deep understanding of the financial markets. Stephen Whitman is committed to providing his clients with the highest level of personalized service and helping them achieve their financial goals.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
06/01/2009 - Present
Morgan Stanley (Carlsbad CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CARLSBAD CA)
CA
03/27/2006 - 04/02/2007
MORGAN STANLEY DW INC. (CARLSBAD CA)
MO
07/01/2003 - 03/28/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/01/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/14/1997 - 10/05/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
03/21/1991 - 05/13/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
03/14/1990 - 03/08/1991
IAF SECURITIES
NY
12/24/1987 - 03/20/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
01/23/1986 - 01/13/1988
E. F. HUTTON & COMPANY INC
IA
Issued 09/11/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/03/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/1986
Series 3 - National Commodity Futures Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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