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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 Starling Vise has been in the financial services industry since April 1969. He is currently registered with Morgan Stanley as a Registered Representative and an Investment Advisor Representative. Stephen has a long and varied history in the industry having previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and J.C. Bradford & Co. Stephen has held a variety of licenses and registrations throughout his career, including the Series 63, Series 65, Series 7, Series 1, and the SIE exam. Stephen is registered to provide investment advice in Alabama, Texas, California, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Michigan, Mississippi, Missouri, Nebraska, New Mexico, New York, North Carolina, North Dakota, Ohio, Pennsylvania, South Carolina, Tennessee, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Stephen is a specialist in working with individuals, high-net-worth individuals, insurance companies, investment companies, charitable organizations, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, 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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AL
04/23/2012 - Present
Morgan Stanley (Birmingham AL)
AL
09/26/1978 - 04/17/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BIRMINGHAM AL)
NA
06/18/1974 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
NA
04/14/1969 - 06/28/1974
J.C. BRADFORD & CO.
IA
Issued 05/14/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/13/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 04/02/1969
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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