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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 Besse is a financial advisor with Raymond James & Associates, Inc., located in Walnut Creek, California. Stephen Besse has been in the financial industry since 1994. Stephen Besse is a Certified Financial Planner and has Series 7, Series 63, and Series 65 licenses. Stephen Besse specializes in providing a variety of financial services including financial planning, portfolio management for individuals and businesses, and educational seminars. Stephen Besse is also a business owner of DEL 13 LLC.
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.
Please see note in schedule d - miscellaneous
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
CA
05/02/2014 - Present
Raymond James & Associates, Inc. (Walnut Creek CA)
CA
06/01/2009 - 05/14/2014
MORGAN STANLEY (WALNUT CREEK CA)
CA
04/05/1994 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WALNUT CREEK CA)
IA
Issued 04/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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