Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Ronald Baumgartner is a financial advisor at Ameriprise Financial Services, LLC. He has been working in the financial industry since February 5, 1997. Stephen is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7 and Series 63 licenses. He has been registered with the Securities and Exchange Commission (SEC) as an investment advisor representative since April 16, 2021. Stephen is a Certified Financial Planner and offers financial planning, investment management, and retirement planning services to individuals, families, and businesses. He is also licensed to sell insurance products. Stephen has experience working with Ameriprise Financial Services, Inc. and Ameriprise Financial Services, LLC.
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.
Asset allocation services
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
NY
02/13/2015 - Present
Ameriprise Financial Services, LLC (Hopewell Junction NY)
MN
04/18/1997 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MN
03/14/1994 - 05/23/1994
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
03/14/1994 - 05/23/1994
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 04/28/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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