Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Ruccio has been in the financial services industry since October 16, 2000. Stephen is currently registered with Wells Fargo Clearing Services, LLC as an Investment Advisor Representative. Stephen has a Series 6, 7, and 66 securities licenses, in addition to a Series 63 license in Connecticut. Stephen is registered in 14 states: Arizona, California, Colorado, Connecticut, Florida, Massachusetts, New Hampshire, New York, North Carolina, Pennsylvania, South Carolina, Texas. Stephen offers financial planning services, portfolio management for individuals and businesses, and investment consulting services to institutional clients. Stephen is a member of the Board of Finance for the Town of Middlebury, Connecticut.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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
NY
09/19/2023 - Present
Wells Fargo Clearing Services, LLC (PURCHASE NY)
BOTH
Issued 11/10/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2009
Series 7 - General Securities Representative Examination
BC
Issued 10/16/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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