Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Dunaway is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Tulsa, OK. Stephen has been in the industry since July 1998, and has passed a number of securities exams, including the Series 6, 7, 31, 63, and 65 exams. Stephen is registered to provide securities and investment advisory services in Arkansas, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Kansas, Kentucky, Michigan, Missouri, New Mexico, New York, North Carolina, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, and Utah. Stephen also has experience working with a variety of client types, including individuals, businesses, insurance companies, charitable organizations, and pension and profit-sharing plans. In addition to Stephen's professional affiliations, Stephen is also an officer/director of the Beckett Ridge Homeowner's Association.
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
OK
07/29/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TULSA OK)
IL
05/22/1998 - 07/14/1998
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IA
Issued 10/09/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 09/09/1998
Series 7 - General Securities Representative Examination
BC
Issued 05/21/1998
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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