Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Rocco Facella is a financial professional with over 25 years of experience in the financial services industry. Stephen has a diverse background in financial services, working for firms such as Kovack Securities, Inc., Capital Guardian, LLC, and Raymond James Financial Services, Inc. Stephen currently works for Cambridge Investment Research Advisors, Inc. as an Investment Advisor Representative. Stephen is a CERTIFIED FINANCIAL PLANNER™ professional and has passed the Series 63, Series 7, and Series 24 exams. Stephen is licensed to provide financial advice in Florida. Stephen specializes in financial planning, portfolio management, and educational seminars.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
FL
01/01/2025 - Present
Cambridge Investment Research Advisors, Inc. (Fort Lauderdale FL)
FL
05/30/2017 - 09/21/2018
KOVACK SECURITIES INC. (Fort Lauderdale FL)
FL
05/11/2009 - 06/08/2017
CAPITAL GUARDIAN, LLC (FT LAUDERDALE FL)
FL
08/16/2006 - 05/01/2009
RAYMOND JAMES FINANCIAL SERVICES, INC. (CORAL SPRINGS FL)
FL
08/15/1997 - 07/28/2006
A. G. EDWARDS & SONS, INC. (FT. LAUDERDALE FL)
BC
Issued 08/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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