Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Roberts is a registered investment advisor representative with J.p. Morgan Securities LLC. Stephen has been in the securities industry since 2006 and has licenses to provide investment advisory services in Colorado and Texas. Stephen has been with J.p. Morgan Securities since 2012 and was previously employed with CHASE INVESTMENT SERVICES CORP. and WADDELL & REED, INC. Stephen is a licensed investment advisor representative and holds FINRA Series 7, 63, and 65 licenses as well as the Securities Industry Essentials (SIE) exam. Stephen specializes in retirement planning, financial planning, and portfolio management for individuals and businesses. Stephen's firm is registered with the Securities and Exchange Commission (SEC) and has approximately $249.7 billion in assets under management. J.p. Morgan Securities LLC offers a wide range of investment advisory services including financial planning, pension consulting, and portfolio management.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CO
10/14/2013 - Present
J.p. Morgan Securities LLC (COLORADO SPRINGS CO)
CO
03/07/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (COLORADO SPRINGS CO)
CO
09/09/2010 - 02/16/2011
WADDELL & REED, INC. (COLORADO SPRINGS CO)
TX
06/09/2006 - 05/26/2009
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
IA
Issued 09/13/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/15/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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