Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Robert Philpott is a financial advisor with Cetera Investment Advisers LLC. Stephen has been in the industry since December 13, 2005. Stephen has been registered with Cetera Investment Advisers LLC since March 21, 2024. Before that, Stephen was registered with MML INVESTORS SERVICES, LLC and First Union Securities, Inc.. Stephen is registered in 9 states: Georgia, Indiana, Maryland, North Carolina, Pennsylvania, South Carolina, Colorado, Virginia, and Virginia.
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.
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
GA
03/21/2024 - Present
Cetera Investment Advisers LLC (DULUTH GA)
GA
10/28/2011 - 11/11/2014
MML INVESTORS SERVICES, LLC (ATLANTA GA)
MO
10/15/2001 - 02/28/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
08/31/1999 - 10/15/2001
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
02/02/1998 - 06/29/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NA
09/16/1997 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP.
NC
02/15/1996 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BOTH
Issued 11/22/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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