Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Rixham is a financial advisor who is registered with Alliancebernstein Investments, Inc.. Stephen has been in the industry since June 9th, 2004. Stephen has a Series 7, 24, 3, 30, and 63 license. Stephen is registered in Tennessee.
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.
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.
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2
TN
12/12/2019 - Present
Alliancebernstein Investments, Inc. (Nashville TN)
NC
01/13/2011 - 03/11/2019
BARINGS SECURITIES LLC (CHARLOTTE NC)
NC
07/01/2003 - 02/09/2007
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
10/07/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BC
Issued 09/15/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/10/2013
Series 24 - General Securities Principal Examination
BC
Issued 12/10/2012
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/2012
Series 3 - National Commodity Futures Examination
BC
Issued 10/06/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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