Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Spector is a financial advisor registered with Steward Partners Investment Advisory, LLC. Stephen has been in the financial services industry since December 20, 1983. Stephen holds the Series 3, 7, 63, and 65 licenses and has also passed the SIE exam. Stephen is registered with the states of Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Michigan, Montana, New Hampshire, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia and Wisconsin.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Financial consulting
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.
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2
NY
06/02/2017 - Present
Steward Partners Investment Advisory, LLC (NEW YORK NY)
NH
04/27/2017 - 05/27/2022
RAYMOND JAMES FINANCIAL SERVICES, INC. (PORTSMOUTH NH)
MA
07/01/2003 - 04/28/2017
WELLS FARGO CLEARING SERVICES, LLC (BOSTON MA)
NY
12/21/1983 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 11/10/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/7/1984
Series 3 - National Commodity Futures Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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