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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Roy Simpkin is an investment advisor representative with Victory Capital Management Inc. Stephen has worked in the securities industry since September 9, 2004, and has held positions at several firms including BTIG, LLC, NYLIFE DISTRIBUTORS LLC, and LAZARD ASSET MANAGEMENT SECURITIES LLC. Stephen is licensed to provide investment advice in Ohio and California. Stephen's professional experience includes working with individual clients, corporations, pooled investment vehicles, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.
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.
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.
Strategic management for diversified investment portfolios.
Model portfolios
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
07/05/2016 - Present
Victory Capital Management Inc. (Austin TX)
CA
03/14/2016 - 06/01/2016
BTIG, LLC (SAN FRANCISCO CA)
VA
10/31/2012 - 07/09/2014
NYLIFE DISTRIBUTORS LLC (RICHMOND VA)
CA
04/01/2004 - 02/12/2009
LAZARD ASSET MANAGEMENT SECURITIES LLC (SAN FRANCISCO CA)
NY
09/25/2003 - 04/01/2004
LAZARD FRERES & CO. LLC (NEW YORK NY)
MA
11/27/2000 - 06/27/2003
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
NY
12/01/1998 - 11/07/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 04/04/2016
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/22/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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