Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Coma is a financial advisor registered with Hilltop Securities Inc. Stephen has been in the financial industry since July 2, 1986. Stephen has a Series 7 and a Series 63 license and has been registered with FINRA since August 4, 2020. Stephen is licensed to provide investment advice in 53 states and the District of Columbia. Prior to joining Hilltop Securities Inc. Stephen was registered with Truist Securities, Inc. from August 3, 2020, to August 5, 2020. Stephen has a strong track record of providing financial advice to individuals, corporations, and charitable organizations.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
12b-1 fees
1
2
NC
08/04/2020 - Present
Hilltop Securities Inc. (CHARLOTTE NC)
NC
08/03/2020 - 08/05/2020
TRUIST SECURITIES, INC. (CHARLOTTE NC)
NC
01/02/2013 - 08/03/2020
BB&T SECURITIES, LLC (CHARLOTTE NC)
NC
03/08/2005 - 01/02/2013
SCOTT & STRINGFELLOW, LLC (CHARLOTTE NC)
NY
11/07/2001 - 10/21/2004
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
10/22/1985 - 07/12/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 10/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/2002
Series 24 - General Securities Principal Examination
BC
Issued 08/06/1993
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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