Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen R Depalma is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. based in New York, NY. Stephen has been in the industry since 2005, holding previous positions at J.P. Morgan Securities LLC and Chase Investment Services Corp. Stephen holds FINRA Series 6, 7, 63, and 66 licenses, as well as the SIE exam. Stephen's registrations are currently active in New York, New Jersey, and Texas. Stephen provides investment advisory services including: portfolio management for businesses and individuals, pension consulting, educational seminars, and selection of other advisers.
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
01/26/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
10/01/2012 - 01/24/2023
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
04/04/2005 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK CITY NY)
BOTH
Issued 10/30/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/15/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2012
Series 7 - General Securities Representative Examination
BC
Issued 04/01/2005
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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