Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Solon Wasserman has been in the financial services industry since November 1967. Stephen is a Registered Representative with Stifel, Nicolaus & Company, Inc. based in Clayton, Missouri. Stephen is a veteran of the financial services industry with experience dating back to 1967. Stephen holds several securities licenses including Series 4, 7, 9, 10, 24, 27, 63, and 65. Stephen has also passed the SIE Exam. In addition to the Series exams, Stephen has passed the NYSE Allied Member Exam and the AMEX Put and Call Exam.
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.
1
2
MO
08/04/2020 - Present
Stifel, Nicolaus & Company, Inc. (CLAYTON MO)
NA
02/01/1988 - 11/18/1988
ROWLAND, SIMON & CO.
NA
02/21/1974 - 02/01/1988
I.M. SIMON & CO., INC.
NA
11/28/1967 - 04/04/1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 03/07/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/28/1987
Series 27 - Financial and Operations Principal Examination
BC
Issued 04/14/1981
Series 4 - Registered Options Principal Examination
BC
Issued 10/26/1974
Series 00 - General Securities Principal Examination
BC
Issued 04/20/1974
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/16/1981
Series 41 - NYSE Allied Member Examination
BC
Issued 06/09/1977
PC - AMEX Put and Call Exam
BC
Issued 11/27/1967
Series 000 - General Securities Principal Examination
BC
Issued 11/27/1967
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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